K3 Overview

WHAT IS DATA AT YOUR FINGERTIPS Gone are the days where companies had to use one tool for integration, another for ETL and yet another for data warehousing. K3 delivers powerful integration, streaming ETL, and data warehousing right off the shelf. Hundreds of adapters and intuitive user interface enables teams to do more with less. Simple.

+1.646.461.3311 info@broadpeakpartners.com

ENTERPRISE DATA SOLUTION DATA DATA DATA!

If you work in any kind of company then you know that data you need pops up all over the place. Files, applications, and databases everywhere each with their own view of data. But, if you want to create visualizations in Tableau, you have to first get all that data fed into a single, organized format.

CONNECT FAST

Quickly capture all your data using K3’s vast library of adaptors.

Connecting to APIs, databases, files, message queues, is just a few clicks away.

FORGET PYTHON

Code not required. K3 has full transformation capabilities le ing you transform, filter, and unify data. Coding is just an unsustainable way to go about it. K3 enables non-technical analysts manage data plumbing with simple Mappings and Rules driven by When-Then-Else statements.

YOUR OWN DATABASE

K3 not only unifies and cleanses all your data, it also stores your data in a database ready for reporting.

No worrying about jumping through hoops to get all the infrastructure setup internally. Simply connect up Tableau and iterate through your visualizations until all looks right. In other words, get right down to business!

SETUP A TRIAL

Try K3 with your own private server and database.

No Obligation!

Need help with complex scenarios? We love data challenges! Drop us a line and we’ll share knowledge based on our years of experience.

+1.646.461.3311 info@broadpeakpartners.com

MAPPING

MAPPING

It’s inevitable. If you are integrating systems you are going to run into mappings. Typically buried in a technical tool, K3 delivers massive efficiency by pu ing this greatest source of change in the hands of those who best know the data business users. As data comes into K3, mappings are executed in a streaming manner to keep data flowing uninterrupted downstream.

PASS THROUGH MAPPINGS

Pass through mappings transport values from one system to another without altering the underlying data. Typically this looks like a header change. In one system, it's called “Company Name�. In another it’s called “Legal Entity�.

These mappings create the field level relationships.

VALUE MAPPINGS

Value mappings allow the user to transform the underlying data as well as the fields. If the Company Name comes in as “ACME Incorporated� and “ACME Corp.�value mappings let you transform these to a standard value such as “ACME Inc.�

This is a simple example, but K3 mappings let you create deep relationships between the data models of source and target systems.

INDIRECT MAPPINGS

Systems can use the same data for entirely different purposes. For example a General Ledger would have quite a different data model than the Transaction System that feeds it. K3’s Mappings let you handle this scenario by dynamically creating relationships between any fields to fulfill the target’s data needs. As data needs change, these can be updated on the fly to keep data flowing and systems connected.

+1.646.461.3311 info@broadpeakpartners.com

POSITION LIMITS

LIMITS FOR EVERY MARKET

If you trade exchange derivatives, you must stay within mandated position limits. These can be set by the exchanges themselves (ICE, CME, NODAL, LME, SGX, etc.) or by regulators directly, as in the case for MiFID II limits. Either way, K3 has you covered.

K3’s Limits engine operates alongside the integration platform streaming real-time data and calculating results. These are all presented in an intuitive dashboard that anyone can understand.

REFERENCE DATA UPDATED DAILY

K3 answers the difficult questions presented by limits: What’s the latest limit? How about option deltas? When does the spot period start for a particular contract? How does one contract roll into its parent? K3 Limits is the only independent source of reference data on the market. Our engine updates about 3 million pieces of data globally every day.

VISUALIZATIONS AND ALERTS ALL YOUR TRADE DATA

The number of data sources to integrate to calculate an overall position can be staggering: Exchanges, FCMs, Trading Systems and more. An integration platform at its core, K3 makes all these connections simple with off-the-shelf adaptors. K3 is setup to assemble positions now and incorporate new ones as your business evolves.

+1.646.461.3311 info@broadpeakpartners.com

Of course K3 has all the data, but what really sets K3 Limits apart are visual, interactive reports. No more taxing your brain with tables and tables of numbers. K3 Limits reports are actionable as you can drill down to see what trades, entities, accounts make up the position. You can even enter exemptions, custom alert levels, advanced notice periods right from the web interface. This helps you know well in advance which positions are approaching spot and what the expected position will be. Away from your desk?

Email alerts are sent out when your position reach a designated percentage of the limit.

DATA STREAM

WHAT IS DATA STREAM?

Data Stream is a central hub of K3. While many integration tools move data, they don’t all save data. K3 saves every piece of data to enable users to search through large data sets. K3 uses a distributed indexing process to make moving through large amounts of data simple.

SOURCE DATA

When K3 connects to a data source via an adaptor, that original data is instantly saved in an un-altered format. In many cases this provides a digitized pre-ETL view of data for analysis.

TARGET DATA

A er data is processed in K3’s streaming ETL, it is saved again.

This allows the user to quickly navigate the “before and a er” of ETL. Like Source data, Target data is instantly indexed using K3’s distributed indexing process.

FILTERING DATA

The beauty of immediately indexing Source and Target data is that it allows users to rapidly navigate through big data sets. Even if you are looking for a li le piece of data in a huge data set, K3 is able to respond nearly instantaneously.

+1.646.461.3311 info@broadpeakpartners.com

EXCHANGE CONNECTIVITY

EXCHANGE CONNECTIVITY

K3 has off-the-shelf connectivity to over 30 exchanges and trade repositories worldwide.

EASY TRANSFORMATION

Most exchanges use some form of FIX dialect.

K3 offers low-latency connections that are easily translated into formats you can actually use...think xml, json, csv.

CONNECT TO YOUR SYSTEM K3 is the most used post-trade solution globally. We have off-the-shelf connections into all major trading systems.

TOUCH-LESS TRADE FLOW

K3 is revolutionizing integration. Global customers use K3 to manage the complexities of high volume, critical data payloads where integration failure is simply NOT an option. K3 is designed for guaranteed delivery. Features have been built into K3 to both streamline the complexity of trading, as well as create a permanent record of everything that has taken place.

STRAIGHT-THRU PROCESSING

K3 has over 30 ultra-low latency trade feed adaptors. These connections allow K3 to deliver the highest level of Straight Through Processing. All connections are monitored at the heartbeat level ensuring that clean connectivity is the absolute norm. In concert with K3’s component level streaming, K3’s exchange connections can manage over 60,000 trades per second. Each data payload is managed start to finish to ensure no missing or double-booked trades downstream.

WORK FLOW AND REAL TIME ADDITIONS

K3 provides trading operations “real-time flexibility” to handle day to day business changes. Managing new trade types, products, locations, traders is all in their direct control in a simple web-based user interface. Rather than waiting for someone technical to change code to get trades to flow, operations and analysts can do it directly. Efficiency delivered!.

WHERE DO YOU WANT YOUR DATA?

K3 is absolutely trading system agnostic solution. We specifically built K3 to interact with any downstream system. Need trade directly booked to a system? Perhaps just output all trades to a folder or message queue. Done. Ready to move to a new trading system? No problem, it’s a simple task to re-point K3 to the new system. K3 has deep expertise and off-the-shelf connections to: • OpenLink • TriplePoint • Allegro

+1.646.461.3311 info@broadpeakpartners.com

• Calypso • Wall Street • Eka

• Sungard • Brady • Custom

• SAP • Oracle • NoSQL

REDUCED COST RELIABLE REPORTING

YOUR ONE-STOP-SHOP • Dodd-Frank • EMIR • MIFID, MIFID II • REMIT • OZ Trade Reporting • OAT • CAT • CAN Trade Reporting

K3-THE MOST USED REGULATORY REPORTING TOOL

DON’T LEAVE YOUR TRACK-RECORD TO CHANCE

ABSOLUTE COMPLIANCE CONTROL

BUILT FOR DATA ASSURANCE

With the most major installations, K3 is the most used off-the-shelf solution for regulatory reporting. K3 easily connects to trade sources, transforms and enriches trade data and feeds trades in real-time to every regulatory destination including: ICE, CME, EFET, REGIS-TR, UNIVISTA, DTCC and many others.

When it comes to regulatory trade reporting, you cannot leave your data movement to chance. K3 provides a real-time view of all trade flows from execution to successful report. K3 is also designed to incorporate all reporting rules under: DODD-FRANK, MIFID, REMIT, MIFID II, Canada, and APAC. K3 also delivers ultimate flexibility around converting data to each repository’s standards. Users leverage K3’s simple web interface to quickly turn around new products, trade types, and markets that the front office may start trading. The days of hearing IT say they don’t have enough time to turn around these changes are over.

+1.646.461.3311 info@broadpeakpartners.com

Based on K3’s principles of absolute persistence, K3 maintains an entire track record of your regulatory reporting activities. For every single trade or data payload, a historic track record is kept that ensures absolute visibility into how and when data elements are sent and received by trade repositories.

When it comes to regulatory trade reporting you cant leave your data movement to chance. K3 is designed from the ground up to ensure that every data payload makes it to it’s destination in good order. At the same time users are able to use K3’s brilliant user interface features to quickly turn around new products, markets and other trade types that your front office may get into. The days of hearing IT say they don’t have enough time to turn around these changes are over.

TRADE SURVEILLANCE

GREAT SURVEILLANCE TURNS ON

GREAT DATA! Its axiomatic: bad data creates bad reports.

This is why K3 is a leader in the surveillance markets.

Surveillance requires the trading enterprise to onboard a lot of new data that it has not used before. Order data, trade data, and internal data are all quickly assembled, harmonized, and validated within K3. It's the essential cornerstone of good surveillance.

CONTROL YOUR FALSE POSITIVE DESTINY

The “blight” of surveillance is false positives. Most surveillance providers came out of the equities market with black box analytics. This means that every change has to go through the vendor. K3 works differently. Because K3 saves all data and is transparent around the logic, it’s easy to control how surveillance works for your firm.

FUTURE PROOF INFRASTRUCTURE

We know the surveillance demands for today, but what about tomorrow? One never knows what will be expected from compliance in the future. K3 is designed to onboard whatever data is necessary and quickly turn it around into meaningful analytics.

CULTURE OF INNOVATION

We are ”regulars” in the markets. Our close relationship with exchanges and compliance officers across the globe help us ensure that K3 is staying abreast of current regulatory trends. We share our knowledge with customers and ensure they are setup to extend K3’s

OUT OF THE BOX REPORTS • Wash Trades • Spoofing • Layering • Bid Behavior • Slamming the Close/Open

+1.646.461.3311 info@broadpeakpartners.com

RULES ENGINE

RULES MANAGER

STREAM BASED RULES ENGINE

Data integration is never as easy as simply pointing fields from one system to fields in another. Systems think about data entirely differently and thus data integration requires more than just mapping. That’s why K3 has Rules.

K3 is a real-time, streaming platform, when data transits K3, Rules are automatically triggered. There is no waiting for batches to trigger. As data enters K3, it hits Mappings and then the Rules Engine before being output.

K3’s Rules engine enables you to solve complex data problems. It covers conditional transformations, arithmetic formulas, and even data validation.

Rules are simple “When, Then, Else” CASE statements. Users setup “When” criteria to segment data to which the rule applies.

Then add actions for the “Then” criteria, and if desired some “Else” criteria.

Need to ensure all your dates are forma ed a certain way? Need to concatenate data or strip apart other elements? Need to prevent bad data from going downstream? No problem. Like everything else in K3, rules are entirely built for the non-technical analyst in an intuitive user interface.

SOME ACTIONS SET VALUE: Change values based on conditions COPY VALUE: Copy a value from another field SWAP VALUE: Conditionally swap values between two fields VALIDATION: Ensure data is correct before sending downstream FORMULA: Used for arithmetic operations, concatenating fields, converting date formats. Users can even input any valid java formula to cover all sorts of curveballs

+1.646.461.3311 info@broadpeakpartners.com

ATLAS

REFERENCE DATA AT YOUR FINGERTIPS

ATLAS is a cloud-based solution that provides all the reference data required for calculating Position Limits. Now you can easily monitor the latest and most accurate information.

KEY DATA ELEMENTS VIA REST API

Simply call the API, or use the intuitive UI to search by product code and quickly find…

• Futures and Options • Maturity Date and Spot Start • All Deltas • Parent/Child Relationships and Ratios • Product Group • All Contract Details: Diminishing, Open Interest, etc.

• All Option Details: Strike Price, Pull/Call, etc.

• Open Interest • Limits: All Month, Single Month, Spot Month and MiFID II • ... and much more!

ONE STOP SHOP

ATLAS covers multiple Exchanges including: ICE, CME, Nodal, Euronext and more. All reference data is update daily to insure you get the most reliable resource available.

+1.646.461.3311 info@broadpeakpartners.com