Toomre Capital Markets LLC

Real-Time Capital Markets -- Analytics, Visualization, Event Processing, and Intelligence

White Paper: "Compliance Risk Management"

Toomre Capital Markets LLC ("TCM") provides advisory services to firms either directly engaged in the capital markets or providing technology solutions and services to the financial services industry. Our specialties include applying emerging technology and innovative financial engineering, structured finance and risk management ideas to the broad field of financial services and Enterprise Risk Management ("ERM").

As experienced professionals who have been there and done that as business heads at some of the most well-recognized (and leading) financial institutions (for instance, Lehman Brothers, Citigroup, UBS, MetLife and Munich Re), we assist these clients with analyzing, implementing and trouble-shooting innovative solutions to the many opportunities and problems that today's global financial service firms and their customers confront on a daily basis. The TCM engagements range from a higher level strategic view of the particular problem down to the smallest details of how exactly a particular model calculates a result or how to get the firm's general ledger to properly account for some unusual transaction with "hair" on it.

As part of our services, TCM consults closely and actively with Advanced Micro Services, providing subject matter expertise on the capital markets, structured finance, risk management and financial technology strategy. To date, Toomre Capital Markets has completed six white papers for the financial services area of AMD and they all may be viewed at the AMD Financial Services page. A seventh currently is being completed and should be released in mid-September 2007.

The most recent example of our work with AMD is the newly released white paper entitled Compliance Risk Management that TCM wrote on behalf of AMD. Based on the substantial comments received to date, this paper has been extremely well received.

For instance, within the first two weeks of its release, two potential TCM clients already have been in contact inquiring about how they might use Complex Event Processing and Business Intelligence technology to build their next version of a real-time compliance risk management system. Apparently, news reports of the Progress Software (Apama)'s inclusion with SAS and Kx by the U.K. Financial Services Authority ("FSA") for Sabre II, their next generation market monitoring system, is very interesting to a number of financial institutions.

We very strongly encourage the reader to review this new white paper and to contact AMD or TCM to discuss thoughts and possible applications or consulting engagements. Comments or questions are most welcome.