Preparing SEC for the MLA

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Presentation to Securities and Exchange Commission IT VEndors, Abuja Nigeria

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Preparing SEC for the MLA

  1. 1. SECURITIES AND EXCHANGE COMMISSION VENDOR WORKSHOP An Applied Logic Presentation Margin List Application
  2. 2. Margin List Application <ul><li>Application Purpose </li></ul><ul><li>Operational Platform </li></ul><ul><li>Technical Specifications </li></ul><ul><li>Front End </li></ul><ul><li>Back End </li></ul><ul><li>SEC – Administrative Role </li></ul><ul><li>SEC – Operational Role </li></ul>
  3. 3. Application Purpose <ul><li>Assist SEC assemble the data elements required in the Margin Guidelines </li></ul><ul><li>Repackage the data elements in a format that represents the requirements of the guidelines </li></ul><ul><li>Run algorithm on a daily basis that generates the Margin List </li></ul><ul><li>Assist SEC in its determination of companies to be on the list </li></ul><ul><li>Assist SEC in its regulation of margin trading activity </li></ul>
  4. 4. Technical Specifications for MLA <ul><li>Scripting Languages: PHP/ JavaScript 1.2/DHTML/Ajax </li></ul><ul><li>Database: Mysql </li></ul><ul><li>Web Server Support: Apache </li></ul><ul><li>Platform Environment: Linux </li></ul>
  5. 5. Operational Platform <ul><li>Application is web based and accessible from any location </li></ul><ul><li>Data feed is from live market data and code is run each day </li></ul><ul><li>SEC IT to provide online access at appropriate speeds for staff access </li></ul><ul><li>Reports – 3 reports downloadable into excel </li></ul><ul><li>Market Analytics for operational evaluation </li></ul>
  6. 8. SEC – Administrative (IT) Role <ul><li>Create new profiles </li></ul><ul><li>Set cut off point for determination of List </li></ul><ul><li>Periodically run update of reports through admin </li></ul><ul><li>Download reports daily or weekly and store in format for retrieval/referral </li></ul><ul><li>Create new user profiles and delete expired profiles </li></ul><ul><li>Ensure access is limited to SEC staff (by SEC email address) and Applied Logic staff (by disclosed address) </li></ul><ul><li>Provide support to new users of the application </li></ul><ul><li>Correspond with Applied Logic on data/application issues </li></ul>
  7. 9. SEC – Administrative (Operational) Role <ul><li>Communicate to Market Operators, FRSCC on the content of the list </li></ul><ul><li>Review list periodically for new additions and removals. Publish list monthly. </li></ul><ul><li>Determine time frame for effectiveness of removal and addition of changes to the list </li></ul><ul><li>Review market analytics and changes to detemine appropriateness of cut off point </li></ul><ul><li>Correspond with Applied Logic on technical issues </li></ul>
  8. 10. QUESTIONS

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