Futures, Options and Securities Previously Plus systems dev and Suppor

A. Dave Atkinson

312-***-****~*************@***.***~528 Park Ave., Wilmette, IL 60091

EXPERIENCE

Societe Generale Securities Americas/SGAS Newedge Chicago, IL Previously Newedge USA, LLC, Fimat USA, LLC and

Fimat Facilities Management (Same entity)

eSolutions and eTrading Division for Support and Static Data Analyst

2002-2015

The Chicago Stock Exchange, Inc. Chicago, IL

Operations Division

Trading Floor Supervisor and Trouble Desk Manager

1998-2001

ING (U.S.) Securities, Futures & Options, Inc. Chicago, IL Futures and Options Execution Division

Trading Floor Phone Clerk /Arbitrage and Hedge Execution Specialist 1995-1997

Work history before 1997 (including but not limited to Chicago Corporation/ABN AMRO, Chase Manhattan Futures, ADM Futures, Term Commodities/ Louis Dreyfus and E.F. Hutton) readily available upon request.

EDUCATION

Loyola University Chicago Chicago, IL

Graduate School of Business

Master of Business Administration, May 1994

Concentration: Economics

Focus: Derivatives and Derivative Markets

Lake Forest College Lake Forest, IL

Bachelor of Arts, May 1988

Major: English

PREVIOUS NASD SERIES (LICENSES)

Series 3 (Commodities) subject renewal.

Series 7 (General Securities) subject renewal.

Series 63 (State Securities) subject renewal.

PROFESSIONAL ORGANIZATIONS

Institute of Information Technology Professionals (IITPSA) INETNATIONAL VISAS (Subject to renewal)

Critical Skills Visa—South Africa (3 Year Working Visa) September 2016-2019 A. Dave Atkinson

312-***-****~*************@***.***~528 Park Ave., Wilmette, IL 60091 STRENGTHS

• Leadership.

• Interpersonal communication.

• Significant industry contacts.

• International business experience as well as international contacts.

• Production of positive and extraordinary results under tremendous pressure.

• Exchange, customer and vendor relationships regionally and internationally.

• Ability to understand and learn complex concepts, systems, applications and processes.

• Capability to handle multiple tasks simultaneously.

• Technologically adept.

• Flexibility.

SPECIALTIES

• Project, systems and database development.

• Relationship management.

• Crisis coordination and management / Risk mitigation.

• Trading issues and conflicts for derivatives and equities.

• Electronic order and trade routing.

• Market and technical research.

• Execution of market derivatives and securities (professional, individual and personal).

• Support, service and testing for institutional accounts and systems.

• Providing and obtaining technical and general training skills.

• Thorough understanding of electronic and manual trading of futures, options on futures, equities, equity options markets.

• DMA/SDMA (Direct Market Access/Sponsored Direct Market Access) set ups and execution.

• Software development analysis, critique and testing.

• Interexchange futures arbitrage futures contract trading. ACHIEVEMENTS

• Attended an MBA program, self-financed, until completion.

• Independently obtained Series 3, Series 7 and Series 63 licenses, passing all exams upon first effort.

• Managed multiple trading floor execution desks as well as a trading floor electronic helpdesk.

• Achieved a minimum 30% personal capital gains on trades in six-month intervals.

• Assistant Treasurer/Bank officer at Chase Manhattan Futures handling Cantor Fitzgerald account.

• One book completed for editorial submission and publication; two others underway.

• Annually the team leader in number and types of issues handled with tickets opened and closed. INTERESTS

• Continued post graduate education

• Competitive and artistic photography (National Award Winner Black & White)

• Global relationship development (professional and personal)

• Global exploration and travel.

• Restoration projects

A. Dave Atkinson

312-***-****~*************@***.***~528 Park Ave., Wilmette, IL 60091

• Sports Participation and Fitness (Professional Bicycle Road Racing, Triathlons, Surfing, Kite Surfing, Wind Surfing, Horseback Riding, Swimming, Water Skiing, Alpine, Riding, Mountain Hiking and Limited Climbing and general fitness)

• Fly fishing

• Photography competition (Portraits, Landscapes, Wildlife)

• Following the current AI (Artificial Intelligence) development. ETRADING ANALYSIS DUTIES AND RESPONSIBILITIES

• Participating as a member of international eTrading, IT and Support teams covering offices, vendors and customers on six continents and over twenty-five nations. In addition to trouble desk and floor support management doing the same for the largest electronic listed equities exchange in the U.S.

• Supporting and training the following for the following trading applications, and related risk administrative applications, and, where appropriate, architectures: TT, TT Net, TT User Admin, CQG Trader, CQG Spreader, PATS J-Trader, PATS ProMark and PATS ProMark with Prism, PATS ASP, GL, UL, Bloomberg TradeBook, Bloomberg EMSX, Fidessa, RAN Trading, eSpeed, eFimat, ORC, Specialist Stations I and II, ITS, NASDAQ WorkStation II and III, Fimat F/X, MetalsEdge, MetalsEdge Pro, F/X Edge, NEXT, RTS, LimitEdge, NPR, Rithmic, MagnaFix and most other eTrading applications and related support and administrative applications.

• Contributing as a Registered Technical Contact at multiple international exchanges (CBOT, CME, CFE, NYMEX/COMEX, ICE, SGX, SFE, MATIF, MEFF, IDEM, LIFFE, EUREX, NYSE & NASDAQ)

• Contributing at CEO requests as technical consult to vendor providers development teams for developmental issues and efficiencies in need of critical attention.

• Setting up DMA and SDMA clients and connections to various exchanges on various systems.

• Working with Developers/Development and Contractors consulting on user needs and functionality and contributing to software development in house at the exchange level (CBOT and CHX) and FCM level (Newedge).

• Supporting Trade Service Vendor users as well as FIX connect users and DMA/SDMA clients.

• Supporting Trading Floor Specialists, Floor Brokers, Odd Lot Brokers, and well as Futures Brokers, AEs and Trading Desks in multiple global locations and/or on multiple exchanges.

• Managing technical and trade resolutions to both system and exchange outages including trade and risk mitigation.

• Reaching out to various exchange development groups to work with and to explore and encourage development of systems that would interact with our own (GLOBEX, CBOT, Chicago Stock Exchange, EUREX, Inter Continental Exchange, CME London, SAFEX and others).

• Coordinating and participated in major exchange technical and software migrations with multiple international trading exchanges at the firm level and at the exchange level for member firms.

• Systems testing. For, primarily, new trading systems at the exchange level, for new systems at the firm level, for existing and new systems at the development level, for updates to existing systems and for beta systems.

• Attending training seminars annually at various exchanges, vendors and eTrading software providers for current systems and systems in development.

• Ensuring compliance with member, exchange and federal agency regulations.

• Coordinating and managing Static Data on from, to and on multiple risk databases.

• Validating various and multiple risk settings, limit settings and trading set ups to ensure there was not excessive market/risk exposure.

• Working with, coordinating and supporting telecommunications support for BT/Radianz as well as Nortel VPN connections for futures traders. Doing the same with Sprint and the exchange internally and with telecom. Objectives: Managing market data flow with resulting issues and setting up remote points of initiation.

A. Dave Atkinson

312-***-****~*************@***.***~528 Park Ave., Wilmette, IL 60091

• Coordinating exchange session I.D.s, ITMs, user I.D.s and various connection requirements.

• Coordinating FIX Operations, IS/IT, Technical Support and out-source staff in support of then Fimat eTrading.

• Editing and contributing to an internal Wiki for use by Support, Admin, Development and AE’s and their staff, for risk and administrative systems.

• Collecting and managing statistics for volumes trading electronically though the managed architecture. This was done at an exchange level for CHX and at the firm level for SGAS Newedge/Fimat.

• Coordinating risk system data base feeds to ensure they would work together on internal risk systems.

• Development consulting with trading system and database developers at multiple exchanges. With risk systems developers internally. As well as with vendors and their trade systems development teams that were new to systems development for futures trading. Advising on trader needs and functionality necessary with occasional consulting on administrative needs. Some examples, though not all, are: CBOT Project A’s initial development, CHX Specialist Station development, NYFIX development for futures trading, Fidessa market data assignments and billing and at GLOBEX when considering trading rules changes.

• Consulting with internal risk system developers on trader, client firm, business lines (AEs) and other user needs, as well as providing alternate uses to systems in place and in development. An example is the development of a system named Trader ID developed off of LimitEdge that I provided an architectural outline table and benefits analysis for, that was later used in full.

• Coordinating efforts for annual exchange updates and migrations on systems and administrative levels, including vendor systems changes, administrative changes and exchange level updates necessary

• Assisting in on-boarding exchanges at the firm level and firm at the exchange level to trade electronically.

PRIOR MANAGEMENT, TRAINING AND EXECUTION DUTIES

• Managed and ran two operational Trade Desks at CBOT, management assistance on a CBOE Trade Desk for several members and member firms. Primarily, but nor exclusively intermarket arbitrage desks.

• Managed staff at the desks mentioned.

• Ran an exchange electronic trade support/trouble desk for the Chicago Stock Exchange (CHX).

• Managed desk and floor staff at the Chicago Stock Exchange. Mid and entry level staff.

• Interviewed candidates for entry and mid-level staff positions as well as candidates for management staff positions at the Chicago Stock Exchange.

• Handled new client on-boarding, including new customer training.

• Tested for quality assurance and migration functionality and development.

• Managed staff that ranged from 8 to 25 individuals as demands varied.

• Provided advanced training to staff and other users of multiple systems and architectures.

• Hired, trained and recruited entry and middle level staff averaging 30 individuals per year at CHX.

• Trained middle level employees in their transition to management.

• Reviewed staff performance and salary.

• Assisted Specialists, Brokers, Hedgers and Arbitrage Traders in the execution of multiple products.

• Consulted with CBOT developers in rolling out and developing the Project A trading system.

• Received and executed futures and options orders either electronically or on the trading floors.

A. Dave Atkinson

312-***-****~*************@***.***~528 Park Ave., Wilmette, IL 60091

• Supported and effectively worked with and for Investment Fund Managers, Arbitrage Traders, Portfolio Managers, Inter-Exchange Spreaders, Market Makers, and Associated Persons at The Chicago Board of Trade and internationally.

• Equities, Futures and Options execution experience with exchanges globally. Manual, electronic and automated.

APPLICATION AND SOFTWARE SKILLS

• Most recent trading applications include the following:

• CQG Trader, CQG Spreader, Trading Technologies (TT), TT Net, TT via FFastFill., PATS J- Trader, PATS ProMark, PATS ProMark with Prism, PATS ASP, Bloomberg, Bloomberg Trade Book, Bloomberg EMSX, GLOBEX EOS, Fidessa Futures and Options, Fidessa Equities, FFastFill MetalsEdge, FFastFill MetalsEdge Pro, F/X Edge, Rithmic, RTS, NEXT, Hot Spot, FlexTrade, GL WIN, UL Link, UL Bridge, Odysis, Object Trading, Trading Screen, RAN/ION and RAN Edge, eSpeed, Fimat FX, Ninja Trader, WebICE, ORC, eFimat, and others.

• Current system support and admin applications include the following:

• LimitEdge, Trader ID, Pulse, Prism, CQG CAST, TT Guardian, TT Xrisk, TT User Set Up, PATS SARA, GMI/Sungard, GL Selector Manager, Bloomberg TOFU, Takumi Trade, Killer Web, Fidessa FDA, GLOBEX SmartClick, GLOBEX EOS Administrator, JIRA, NYMEX Clearport Administrator, eCBOT eFills, GLOBEX Firmsoft, WebICE administrator and almost all of the WebICE account management tools, What’s Up Gold, EUREX listener, Nortel and Level 3 VPN Administrators and eKB.

• General software includes the following:

• Microsoft Office Suite 2019 through 95, Windows 10 through Windows 95, Microsoft SharePoint, Lotus Notes, Dameware, Hawk, Ping Plotter, FireFox, IE, Google Chrome, Linux applications and numerous others.

• Previous applications include the following:

• Fimatrade, NYFIX, GL TC, ACE, NASDAQ Workstation II and III, Tools of the Trade, MAX/UTP, Specialist Station I and II, BrokerPlex, ITS, Stock Locator, Schwab Layoff, Cowen Layoff, Rock Island Layoff, ETH systems, CBOT Project A, CHX systems, Bridge, ILX, and Reuters.

• Recent software development includes participation and contribution to (Cannot go into details due to non-disclosure on some):

• Fidessa (For Futures and Options trading systems.)

• LimitEdge (For risk and administration work.)

• Trader ID (For administration work and maintenance.)

• International Cloud Architecture Development

CONTINUING EDUCATION

• Attended multiple training courses at the American Management Association for leadership, management and supervisory skills.

• Attended numerous training courses and seminars at Trading Technologies for electronic trading systems and development.

• Attended multiple training courses and seminars at Bloomberg for multiple electronic trading and risk monitoring systems in production and in development.

• Attended multiple futures, options and derivative courses and seminars at CBOT administered by the exchange itself.

• Attended technical analysis coursework for trading trends and Fibonacci theory at Illinois Institute of Technology.

A. Dave Atkinson

312-***-****~*************@***.***~528 Park Ave., Wilmette, IL 60091

• Attended multiple GLOBEX development and training seminars administered by the exchange. GLOBAL REACH

• Global trading exchange technical contacts and individual registration.

• Global trading exchange clearing contacts and individual registration.

• Global trading exchange administrative contacts and individual registration.

• Global trading exchange trading contacts and individual registration.

• Global software support and development contacts with system vendors, technical, and sales teams in addition to the same at trading exchanges, globally as well. As often vendor development, and certainly support, is globally dispersed in France, Russia, Australia, London, Tokyo, Hong Kong, Singapore, Bangalore, and Pakistan for development to name a few. Support on 5 continents, often over-lapping. Critical centers of support at Chicago, London, Paris, Oslo, Singapore, Hong Kong, Tokyo, and Sydney.

• Global and regional telecommunications vendor technical, support and sales contacts.

• Global Exchange, Banking and FCM clearing contacts.

• Global Futures Commodity Merchant (FCM) Sales and Technical contacts.

• Global Telecom and network contacts (Strongest in US, but contacts in EU, South Africa and some in Asia Pacific.)

• Global exchange contacts include but are not limited to, US- CBOT, CME, MidAm, CBOE, CFE, CHX, NYMEX, NYBOT, KCBT, MGE, ICE, NYSE, NASDAQ, P-Coast, BSE, POE, NODAL. Other Americas—MSE, MEXDER, BM&F. Europe—LIFFE/ICE, EuroNxt, MATIF, MEFF, EUREX, NASDAQ OSE, LSE, SWX, TurDEX. Mid East—DGCX, DME. APAC—SGX, OSE, TSX, HKFE, SFE, NZ, SSE. Africa—SAFEX, JSE.

• Global exchange member firm contacts are extensive but will be kept confidential. WORTHY OF NOTE

• Serviced futures outright, and arbitrage trading clients. Including several exchange Chairmen, on multiple exchanges, who chose to trade through me regularly for many years.

• Earned and hold four references/recommendations for exceptional skills and talents in eTrading Systems, Operations and Support. Two from Global Heads of eSolutions another from a Head of Client Relations and a third from a leading vendor.

• Registered as the ninth user of Project A, one of the first global exchange electronic trading systems.

• Consulted with the CBOT (Chicago Board of Trade), as mentioned, at their request, during the development of Project A, on functionality and features.

• Consulted with the ICE (Inter Continental Exchange), at their request, during the development of ACE for order tracking.

• Consulted with the ICE, at their request, during development and roll outs of the latest exchange offered trading systems.

• Consulted with CME (Chicago Mercantile Exchange/GLOBEX), at their request, on best practices to best handle disputed trades.

• Built and maintain significant personal trading and risk experience though use of personal funds in multiple products and product types.

• Increased volume. Over a number of years, efforts of mine and my various teams resulted in a massive fold capacity increase in trade systems and volume resulting in revenue too high to print. Newedge and CHX set new daily and annual electronic trading volume records while I was at each. A. Dave Atkinson

312-***-****~*************@***.***~528 Park Ave., Wilmette, IL 60091

• Significantly contributed to a 25 member (approximately) global team that took a firm’s electronic trading group from a single in-house platform, considered a basement project, to 12 years later an industry leading global team handling countless dozens of environments and systems (trading, support and risk) internal, external and SDMA.

• Participated as one of a six-person team that developed a U.S. eTrading department that now is staffed at 140 people and growing.

• Managed a Trouble Desk at the Chicago Stock Exchange in the middle of the .com period which resulted in tremendous growth, though with multiple system strains.

• Registered as an official exchange contact at most exchanges globally, giving me direct access to IT and to exchange personnel, services and support. It also means, when active that I am validated to act on behalf of firms and customer base as needed at the exchanges.

• Experienced in electronic systems for derivatives, equities and F/X. I also have experience in exchange trading systems, not simply vendor software. To have experience in one of these fields is common, two is unusual, all of them, very, very rare.

• Involved with the in-house development of an electronic platform competitive with any of the better systems sold publicly.

• Contributed as an instrumental part of the team that migrated systems and customers during the merger of Calyon and Fimat to form Newedge. It was a one-year project of tremendous pressure and very strict deadlines, all of which were met.

• Valued and trusted; I have been one of the most trusted members of my teams by the vendors, exchanges, customers and internal staff.

• Specialized in advanced systems project management for system functionality issues. Any system with an issue too complex to be resolved easily or by junior staff is assigned to my work flow. An example may be trouble shooting a functionality issue whose root issues were in a firewall that was outdated. These projects have been things that require(d) considerable depth of experience and skill because they are traditionally less than obvious.

• Seasoned and involved pioneer with:

o Newedge/Fimat from the earliest periods of its eTrading development. And, unlike personnel coming up today, I have technical experience in connectivity, high speed lines, encrypted lines, FIX testing, DMA and SDMA on-boarding, exchange on-boarding (setting a new exchange up on trading systems), client on-boarding, quality assurance and testing, advanced training, new ISV integration and dozens of other aspects. Add to that floor experience for order routing, execution, systems and regulations that are converting to electronics in futures and securities. Recently the thinking has been that the learning curve would be too large for new employees.

o Chicago Stock Exchange. The first listed equities electronic exchange competing with NASDAQ OTC. And which led to much of the development that followed at the primary exchanges ECNs.

o Chicago Board of Trade in launching on of the futures industry’s first exchange electronic trading systems.

• Skilled technically, and with IT experience, and the fact that I have a considerable amount of experience in electronic trading systems and trading floor experience, I have been able to develop and implement exceptional skills to be an effective bridge between two groups in the industry (IT and Traders) who do not understand each other’s functions and needs.

• Experienced with and comfortable with the restrictions, problems, solutions and vendors related to and involved with significant data flow on high speed and legacy lines and architectures.

• Experienced, skilled and with a background in more systems and architecture types, connectivity and DMA and SDMA than all of my counter parts at Newedge and most in the industry.

• Experienced in charity fundraising for educational groups. Participant, through cold calling, to build a 100 million dollar plus small college endowment up from 20 million in less than 6 years.

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