WG Consulting and ZE PowerGroup, an award winning data collection, monitoring and visualization firm, have partnered to build and deliver a comprehensive Dodd-Frank software solution to fit the current and upcoming challenges faced by Non-Swap Dealers (non-SD), Swap Dealers (SDs), Major Swap Participants (MSPs) and End-Users. With ZE PowerGroup’s award winning Data Management capabilities and WGC’s deep understanding of compliance requirements, we have built a data retrieving and reporting system, unique to the requirements of the Dodd-Frank Act. Many of the solutions required for Dodd-Frank compliance require the collection and centralization of data; reporting and mapping of data; and finally the publication of that data to the CFTC, ICE Trade Vault or DTCC on a specific schedule and with the ability to monitor for errors and resend files, if needed. The ZEMA Dodd-Frank software solution can handle all of those challenges with award winning capabilities.

1. WG Consulting &
ZE PowerGroup
Dodd-Frank Reporting Solution
www.wgconsulting.com

2. Table of Contents
Introduction
Timeline and Issues
Our Solution
Example Screens
Contact Information
Page 2

3. Introduction
WG Consulting and ZE Power Group have formed an exclusive partnership to build a DoddFrank solution to provide client answers to their current challenges.
WG Consulting
WG Consulting (WG) utilizes world-class
methodologies to deliver value-creating
solutions based on each client’s unique
operating needs. Our team’s thorough
understanding of operational and regulatory
risk is the key to competitive results that
mitigate such risks for our valued clients.
ZE PowerGroup
ZE PowerGroup Inc. (ZE) is a software
development company with extensive energy
experience. ZE is the developer of the award
winning ZEMA Suite an end to end data
management system that focuses on data
aggregation, data presentation and analysis,
distribution and systems integration. ZE was
founded in 1995 and has been providing
services to market participants for 17 years.
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4. CFTC Timeline – Decision Points (non-SD)
Potential finalized projected compliance dates for non-Swap Dealers
April 2012
June 2012
August 2012
November 2012
February 2013
Swap entity definitions
finalized
Swap product definition
anticipated to be
finalized
Spot month position
limits
Real Time reporting and
record-keeping/reporting
for interest rate and
credit swaps
Real time reporting and
record-keeping/reporting
for equities, and other
commodities
(effective: July 23, 2012)
Assessment
Q2 2012
Q3 2012
Implement
Selection
Assess
Selection
Q4 2012
Q1 2013
Implementation
4/18/12
Swap entity definitions finalized by CFTC/SEC (rule effective July 23, 2012)
6/30/12
Swap product definitions anticipated to be finalized, per Commioner O’Malia’s proposed schedule as
published on CFTC website
8/29/12
Spot month position limits in effect (60 days after publication of product definitions)
11/27/12
2/25/13
As of February 2013
Real time reporting and recordkeeping/reporting for non-Swap Dealers – Interest Rates and Credit (150
days after publication of product definitions)
Real time reporting and recordkeeping/reporting for non-Swap Dealers – Equities, FX and other
commodities (240 days after publication of product definitions)
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5. CFTC Timeline – Decision Points (Swap Dealers)
Potential finalized projected compliance dates for Swap Dealers
April 2012
June 2012
August 2012
November 2012
Swap entity definitions
finalized
(effective: July 23, 2012)
•
Spot month position limits
•
Real time reporting for
Interest Rates and Credit
•
Swap product definition
anticipated to be
finalized
•
Internal Business Conduct
Real Time reporting and
record-keeping/reporting for
equities, FX and other comm.
•
Large Trader reporting for
cleared swaps
February 2013
Real time reporting and
record-keeping/reporting
for equities, and other
commodities
Assessment
Q2 2012
Q3 2012
Q4 2012
Selection
Implementation
August 2012
October 2012
Large Trader Reporting
Assess
July 2012
Provisional registration for SDs
External Business Conduct
4/18/12
Swap entity definitions finalized by CFTC/SEC (rule effective July 23, 2012)
6/30/12
Swap product definitions anticipated to be finalized, per Commioner O’Malia’s proposed schedule as published on CFTC website
8/29/12
Implement
Selection
Q1 2013
11/27/12
As of February 2013
- Spot month position limits in effect (60 days after publication of product definitions)
- Real time reporting and recordkeeping/reporting for Swap Dealers – Interest Rates and Credit (60 days after publication of
product definitions)
- Internal Business Conduct (except for Business Continuity & Disaster Recovery Plan)
Real time reporting and recordkeeping/reporting for non-Swap Dealers – Interest Rates and Credit (150 days after publication of
product definitions)
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6. Dodd-Frank Issues
The Dodd-Frank regulations create a unique system and business issue for organizations that
will require a system with capabilities around:
Collection & Centralization
•
•
•
Multiple sources: Ability to
pull from multiple ETRM
systems and spreadsheets
Customization: Ever
changing regulations
require new fields and
reports to be created
Datawarehouse: Stored
data in a standard
database
As of February 2013
Reporting & Mapping
•
•
Normalization of data:
Transformation of each
data source to go into
single datawarehouse
Publication
•
Communication with the
following entities:
•
•
ICE Trade Vault
•
Create report Formats:
CSV, FpML, XML, FIXML
CFTC
DTCC
•
Error Handling: Ability to
perform action based on
data translation issues
•
Scheduling: Action set to
occur based on specific
time
•
Internal Reports:
Viewable screen to show
history of reports
submitted
•
Error Handling: Ability to
perform action based on
communication issues
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7. High Level Solution Overview
Data is automatically
imported from Allegro
and Endur.
DF
Database
Data is centrally stored into
the ZEMA DF database.
Collection
Centralization
Data stored in the database
can be reported on,
visualized and manipulated.
Transformed
data issued back
to the system.
Data is mapped to target
destinations.
Mapping
Fixed format files are issues
to CFTC secured locations.
As of February 2013
Reporting
Publication
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8. Checklist Comparison
The Dodd-Frank solution will require a combination of SME consultants and a
proven systems solution that WG and ZE can provide.
Solution Features
Regulatory Reporting (LTR, Real-Time, Recordkeeping)
Data warehouse (Schemas for Counterparty, Static and
Transactional Data)
Connectivity to all Swap Data Repositories
Connectivity to CFTC
Connectivity to Swap Execution Facilities
Form Reporting (102S, 404A/S)
Internal Reporting (Audit, compliance and IT)
Validation (Rules and Notification capabilities)
Monitoring
Ongoing Support
As of February 2013
Other ETRM
Systems
In-House
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ZEMA
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9. Benefits Overview
The WG and ZE Dodd-Frank solution provide the following key benefits that we
believe set us apart.
Benefits
• Ability to leverage the best skills from both a services provider and a software
development firm who have global success and presence
• Low delivery risk
• Faster time to market
• Cost certainty
• Left with a scalable and expandable software system
As of February 2013
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10. ELTP Through ZEMA
ZEMA as a software package has a framework and existing components that is
applicable to Dodd Frank. The ETLP (extract, transform, load, publish) process is
capable of importing transactions from any number of sources and publishing to
any number of SDRs or reporting bodies.
Data Manager
Sources
(C/ETRM)
As of February 2013
Extract
(processors)
Market Analyzer
Transform/Load
Curve Manager
(work flow)
Publish
(adaptors)
Sinks
(SDRs)
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11. ZEMA Demo Workflow
Manually executing an event driven process
Import Openlink
table from one
database to
another
As of February 2013
Transform
Openlink table to
FPML
Post to secure FTP
Write values back
to database and to
file store
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12. Collection and Centralization
Collection and Centralization
•
Source Data
•
•
1a. Allegro (MS SQL)
1b. Endur (Oracle)
Ability to pull information from
multiple ETRM systems (ex. Endur,
Allegro, etc)
•
Screen shot
Ability to pull data from spreadsheets
or other electronic sources
Data Warehouse
•
Dodd-Frank data warehouse solution
covers the following table structures:
Reports, Party, Static, and ETL
connections
•
2. Data Warehouse
Data warehouse here is flexible and
scalable for new regulations and will
fulfill future compliance needs and
organizational needs
As of February 2013
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13. Centralization – Cont.
Centralization
•
Validation
•
Simple ability to create standard
validation rules (ex. count, correctness,
etc)
1. Easily transform data values
Ability to validate and transform data
before inserting into the data
warehouse
•
Screen shot
•
Viewable screen to track submitted
records and their validation status
•
Simple screen to manually enter
changes
•
Setup Email notifications on validation
errors
2. Create new Validation conditions
As of February 2013
3. Validation Report
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14. Mapping – Classification
Mapping
•
Classification of data
•
Customer data mapping is
automatically generated when pulling
data from source system (ex. LEI Code,
102S ID, Market Designation)
1. Static data mapping
Static data mapping is automatically
generated when pulling data from
source system (ex. Underlying
Commodity Code (UCC), Commodity
Reference Price (CRP))
•
Screen shot
•
2. Customer data mapping
Easy to setup mappings for DoddFrank rules
As of February 2013
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15. Reporting – Scalability
Reporting
•
Screen shot
View and visualization data
•
Ability to setup new data sources to
allow business growth and expansion
•
Ability to add new fields to reports
based on new or changes to the
requirements
•
Ability to add new observations
around pulling data from sources
•
Dedicated team of software
developers and Dodd-Frank
consultants, which will update
software based on new and changing
regulations
As of February 2013
Page 15

16. Publication – Monitoring
Monitoring
•
Monitoring (Internal)
•
Listeners can be configured to operate
at various time intervals
•
•
1. Screen to Monitor Status of listeners
Ability to setup listeners that will
monitor changes to a source system
and automatically move data to the
datawarehouse
•
Screen shot
2. Ability to schedule and create Email Notifications
when monitor fails
For Real-time reports, the listeners can
be configured to gather, transform and
submit data to the proper entities near
real-time
Monitoring (External)
•
Ability to monitor responses from
external entities
As of February 2013
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17. Publication
Messaging
•
Messaging
•
Tasks are easily configured to create
FpML messages and store data into a
appropriate directories
•
Viewable screen to show when
messages were sent, status and history
1. Easy setup of credentials between databases and
external entities
Workflows can be scheduled to work in
during various times
•
Screen shot
•
2. Files sent to CFTC via sFTP
Simple Screens that will allow user to
setup communication credentials
between entities (ex. sFTP, ICE Trade
Vault, and MQ Gateway)
FpML test file
loaded up to CFTC
As of February 2013
Page 17

18. Let’s Stay In Touch
David Stephan
Managing Director,
Risk, Systems & Compliance
DStephan@wgconsulting.com
O: 832.581.4971
C: 832.863.6659
Dan Masch
Director,
Regulatory Compliance
DMasch@wgconsulting.com
C: 832.863.6659
James Yu
Managing Director,
Trading & Risk Management
JYu@wgconsulting.com
C: 832.603.1572
Waleed El-Ramly
Sukh Grewal
Waleed@ze.com
O: 604-306-4393
Sukh@ze.com
O: 604-244-1475
For more information, email letstalk@wgconsulting.com
www.wgconsulting.com
WG Consulting, LLC
@thewgcpromise
WG Consulting
WG Consulting 1415 Louisiana, Suite 3450 Houston, TX 77002
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