Securities America, Inc.

Enhancement to Comp Alarms Remedy Schema

Presented by Anneliese Keil

Company Background

Securities America, Inc. (SAI) is a registered broker/dealer and Member of the NASD

SAI is required to supervise the activities of its registered representatives

Specifically representatives must submit copies of correspondence for review on a monthly basis

Objective and Scope

Remedy is used to track receipt and evidence approval of correspondence submissions

An efficient means of tracking correspondence not submitted is needed

Scope System to reflect correspondence that has not

been received and on demand reports for follow up.

Project Deliverables

Enhancement to Remedy Comp Alarms schema Add radio buttons for each month of the year and

have an open ticket for each rep effective with the company

Monthly automated email notifiers sent to delinquent reps

On demand reports of reps that are delinquent

Cost

IT Remedy Expert will be assigned this project on a part time basis (20 hours/week)

IT team member expected number of hours is 122.5 hours

Compliance team member expected hours spent on project is 6.5

Risk

Low risk because Remedy Program already used across the company

Code written for this project will be applied to other compliance projects

No need for additional training of staff

Evaluation of Project Success

Increase in correspondence submissions by 25% within first quarter of implementation

Email notifiers are sent to reps requesting correspondence submissions

Remedy pulls rep information from MIPS This code can be used in other projects

Questions?