ConvergEx Group Announces Submission of First Customer Form PF Filing with Eze Data Management

New York - 12 September 2012

ConvergEx Group, a leading technology company, today announced that Eze Castle Software has successfully executed its first Form PF filing to the U.S. Securities and Exchange Commission (SEC). The filing was submitted via Eze’s Regulatory Filings Manager on behalf of GMT Capital Corp., an Atlantabased private investment company. Regulatory Filings Manager, the latest component of Eze Data Management, is a new Form PF reporting solution that integrates with enterprise systems to automatically aggregate, consolidate
and map crucial data for Form PF.

To streamline the filing process, Eze’s customer service team worked with the customer to load three months of position data into Eze Data Management in order to construct crucial as‐of values. The values were used to automatically calculate and populate many of Form PF’s more complex questions. Regulatory Filings Manager’s intuitive user interface and pre‐built templates allowed users to easily navigate through the form and electronically submit the completed filing to the SEC.

“This first filing really demonstrates Regulatory Filings Manager’s capabilities of building and delivering a completed Form PF quickly and efficiently,” said Phil Christianson, product manager for ConvergEx’s Eze Castle Software. “Not only is it a robust and scalable offering in and of itself, but we also work closely with our customers to ensure their filing needs are met in full and on time. Furthermore, Regulatory Filings Manager also allows us to put in place the structures necessary to continue to improve on the filing process going forward. ”

The award‐winning Eze OMS leverages a real‐time open architecture to streamline the investment cycle for all asset classes – from idea generation through settlement. The Eze OMS provides functionality to support portfolio management, compliance, trading and operations in a single platform.

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