SOURCES A RESOURCE DIRECTORY The 2020 Guide to Products and Services for the Securities Industry SIFMA is the leading trade association for broker-dealers, investment banks and asset managers operating in the U.S. and global capital markets. On behalf of our industry’s nearly 1 million employees, we advocate for legislation, regulation and business policy, affecting retail and institutional investors, equity and fixed income markets and related products and services. We serve as an industry coordinating body to promote fair and orderly markets, informed regulatory compliance, and efficient market operations and resiliency. We also provide a forum for industry policy and professional development. SIFMA, with offices in New York and Washington, D.C., is the U.S. regional member of the Global Financial Markets Association (GFMA). For more information, visit http://www.sifma.org. SOURCES A RESOURCE DIRECTORY The 2020 Guide to Products and Services for the Securities Industry New York | Washington 120 Broadway, 35th Floor | New York, NY 10271 | P: 212.313.1200 | F: 212.313.1301 1099 New York Ave, NW, 6th Floor | Washington, DC 20001 | P: 202.962.7300 www.sifma.org | [email protected] © 2020 Securities Industry & Financial Markets Association SOURCES TABLE OF CONTENTS ACCOUNTING AND PROFESSIONAL SERVICES BDO USA, LLP ................................................................................................. 1 Crowe LLP ........................................................................................................ 1 Deloitte ............................................................................................................. 1 EisnerAmper LLP ............................................................................................. 3 EY ..................................................................................................................... 3 CLEARING AND SETTLEMENT Fidelity Clearing and Custody Solutions ......................................................... 5 Matrix Applications .......................................................................................... 5 OCC .................................................................................................................. 6 COMMUNICATIONS AND TECHNOLOGY Broadridge ....................................................................................................... 7 Mediant ............................................................................................................ 7 CONSULTING Capital Forensics, Inc. (CFI) ............................................................................ 9 MarketSphere Unclaimed Property Specialists ............................................. 10 Oyster Consulting LLC .................................................................................. 11 Protiviti ........................................................................................................... 11 RMMilburn Consulting LLC............................................................................ 13 Securities Experts Roundtable . ..................................................................... 13 TCS BaNCS - Tata Consultancy Services . ..................................................... 13 INSURANCE Assured Guaranty .......................................................................................... 15 i | A RESOURCE DIRECTORY LEGAL Alston & Bird ................................................................................................ 16 Bracewell ........................................................................................................ 16 Bressler Amery & Ross .................................................................................. 16 Cadwalader, Wickersham & Taft LLP ............................................................. 17 Cravath, Swaine & Moore LLP ....................................................................... 17 Holland & Knight ........................................................................................... 17 Hunton Andrews Kurth LLP ......................................................................... 18 León Cosgrove LLP ........................................................................................ 18 Linklaters LLP ............................................................................................... 18 McGuireWoods LLP ........................................................................................ 19 Moore & Van Allen PLLC ............................................................................... 19 Murphy and McGonigle ................................................................................. 21 Quarles & Brady LLP ..................................................................................... 23 QuisLex .......................................................................................................... 23 Sidley Austin LLP ........................................................................................... 23 Stikeman Elliott (NY) LLP .............................................................................. 24 Stroock & Stroock & Lavan LLP .................................................................... 25 Williams & Connolly LLP ............................................................................... 25 WilmerHale .................................................................................................... 25 MARKET DATA European DataWarehouse ............................................................................. 27 IHS Markit ..................................................................................................... 27 Lumesis, Inc. .................................................................................................. 27 OTHER – DATA ANALYTICS FICO ............................................................................................................... 29 OTHER - FINANCIAL DATA AND NEWS Bloomberg...................................................................................................... 29 | ii SOURCES OTHER - NOTICING & CLAIMS AGENT Prime Clerk ................................................................................................... 30 OTHER – TAX RECLAMATION Goal Group .................................................................................................... 30 PROFESSIONAL SERVICES SEBA International Executive Search ............................................................ 31 RESEARCH CreditSights, Inc. ............................................................................................ 31 RISK & COMPLIANCE ACA Compliance Group ................................................................................32 PwC ................................................................................................................ 33 Vigilant ........................................................................................................... 33 TECHNOLOGY / SOFTWARE AND SERVICES Amazon Web Services ....................................................................................35 BasisCode Compliance, LLC ..........................................................................35 CircleBlack ..................................................................................................... 37 FIS .................................................................................................................. 37 Financial Recovery Technologies (FRT) ........................................................38 Fi-Tek .............................................................................................................38 Google Cloud ................................................................................................. 38 Hearsay........................................................................................................... 40 Kinetix Trading Solutions .............................................................................. 40 Kx ................................................................................................................... 40 n-Tier .............................................................................................................. 43 Refinitiv .......................................................................................................... 43 SWIFT. ............................................................................................................ 44 Tegra118 .........................................................................................................44 Theta Lake ...................................................................................................... 45 Transcend Street Solutions ............................................................................45 iii | Sign up for SIFMA SmartBrief Subscribe today to receive a daily snapshot of the news impacting capital markets and the financial services industry. www.sifma.org/smartbrief SOURCES When navigating today’s complex landscape, we’re better together Today, banks, securities and capital markets firms are facing digital disruption, accounting changes and a continuing focus on data quality, data protection and privacy. 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