Technology
TECHNOLOGY OVERVIEW
The StarCompliance Next Generation application has been designed and developed from the ground up using years of industry knowledge combined with the feedback and experiences of our international customer base.
Our solution heavily utilizes the latest Microsoft technology. The application is written in C# using the .NET 3.0 framework and has been developed within the Microsoft Visual Studio Team Server environment.
All application data is stored within Microsoft SQL Server 2005; we also utilize the associated Reporting and Integration Services within the solution. All users access the system via a standard web browser. The design and implementation is fully object oriented.
Design Goals
The table below shows some of the key design goals that were considered throughout the development of the product.
GOAL |
DESCRIPTION |
|---|---|
| Reliability | We recognize that our application is a key system within an organization. The system is often accessed by almost every employee at all levels. The data it contains is sensitive and is often used to make important decisions that can significantly affect both the individual and the organization as a whole. Therefore, we identified that all aspects of the system must operate reliably from the processing of trade requests to the automated handling of broker feeds through to the sending of notifications. |
Security |
The data held within the system is personal and sensitive. The data must be protected from both outside intruders and unauthorized users. We also recognize that authorized users should have access to different sub-sets of data and different functions depending on their role within the organization. |
Intuitive and Easy to Use |
We wanted to make the Next Generation software as easy, quick and efficient to use as possible from both the view of a typical end user and from the view of a Compliance Officer. We were able to analyze the usage patterns of users on our existing product and identify features that were commonly accessed or were causing difficulty or delay. This information was fed into the process of designing the new user interface to ensure that it was intuitive as as easy to use as possible. |
Scalable
|
The application is required to scale from tens of users to tens of thousands of users. It must comfortably deal with not only all active employees within an organization, but also all historical employees for a number of years. All related information such as transactions, accounts, holdings and case information must also be stored and processed. Regular file feeds from client trading systems are often regularly processed and requests and notifications are often submitted for the entire user population. Such actions must be performed in a controlled way that is scalable and does not degrade the general operation of the software. |
System Requirements
Overview
Our Next Generation application is a web based system. The application runs on Microsoft Internet Information Server 6.0 running in turn on a Windows 2003 Server with the Microsoft .NET v3.0 framework installed. Data for the Next Generation is held within a Microsoft SQL 2005 database.
The StarCompliance application also utilizes Microsoft Reporting Services for the design and delivery of reports and the Microsoft Integration Services to facilitate data integration. Both of these SQL 2005 components should be installed on the database server machine.
Next Generation Architecture
The Next Generation application is based on a multi-tier architecture, consisting of a data tier, an application tier, and a client tier. It is normally deployed as a dual-server application. The dual server deployment places the data and application tiers on separate computers.
CLIENT TIER
End users access the application using a web browser. Star Compliance recommends Internet Explorer 6.0 or above.
| APPLICATION TIER The application tier is composed of a Web-based front-end application implemented within Internet Information Services (IIS). In addition, Microsoft Reporting Services is also used to deploy and deliver reporting information from the data tier. |
|
COMPONENT |
RECOMMENDED |
|---|---|
Processor |
2.8 Ghz Pentium IV or Athlon (Express Edition); Dual Processor 2.8 Ghz Pentium IV or Athlon (Professional, Enterprise Editions) |
Operating System |
Windows Server 2003 with Service Pack 1 (SP1), Datacenter Edition |
Web Server |
Internet Information Services (IIS) 6.0 with ASP.NET enabled |
RAM
|
1 Gb (Express Edition), 4 Gb (Professional, Enterprise Editions) |
Hard Disk
|
20Gb of available space (Express Edition), 40Gb of available space (Professional, Enterprise Editions) |
| DATA TIER The data tier consists of Microsoft SQL Server 2005 which stores user account data, personal trade information, broker and brokerage account information and all other data related to the Next Generation application. |
|
COMPONENT |
RECOMMENDED |
|---|---|
Processor |
Dual Processor, 2.8 Ghz Pentium IV or Athlon (Express Edition), Dual or Quad Processor, 2.8 GHz Pentium IV or Athlon (Professional, Enterprise Editions) |
Operating System |
Windows Server 2003 with Service Pack 1 (SP1), Datacenter Edition Windows Server 2003 with Service Pack 1 (SP1), Enterprise Edition Windows Server 2003 with Service Pack 1 (SP1), Standard Edition Windows Server 2003 R2, Datacenter Edition Windows Server 2003 R2, Enterprise Edition Windows Server 2003 R2, Standard Edition |
Database (or) |
Microsoft SQL Server 2005 Standard Edition (Enterprise Edition) |
Web Server
|
Internet Information Services (IIS) 6.0 with ASP.NET enabled (Professional, Enterprise Editions) |
RAM
|
2 Gb (Express Edition); 4 Gb (Professional, Enterprise Editions) |
Hard Disk
|
80 Gb of available space (Express Edition); 150 Gb of available space (Professional, Enterprise Editions) |
Please note that the above recommendations are guidelines only. Memory, storage and processor requirements will vary dependant upon:
- The number, frequency, and size of data file feeds.
- The number and size of notes and attachments stored on the system.
As a general guide, the typical application will consume 5Mb of storage space per user per year of online data. Certain features and functionality require Internet connectivity to retrieve data.
Deployment
- On Site Installation. For clients who prefer complete control of their IT environment, StarCompliance can be installed on-site.
- Managed Hosting Solution. For clients who prefer to outsource technology in order to focus on their core business, StarCompliance offers a system hosted and maintained by SAVVIS, the leading hosting provider in the financial services industry.
- Professional Services. Our experienced Professional Services team combines project management, product, and business knowledge to work with clients during implementation, to help make your implementation successful.
Configuration
With our Next Generation product, the ability to configure many aspects of the system is available via the user interface. In addition, most of these configurations can be performed by a business user, rather than a technical user. Some examples of the type of configuration that can be performed include:
- The ability to specify individual parameters that dictate the behavior or an individual rule.
- The ability to specify the recipients, content and schedule of alerts and notifications to users.
- The ability to set the content and layout of reports.
In addition, a number of extension points have been considered, that will allow more technical users to extend the product further including:
- The ability to write SQL Server Integration Services packages to import or export data to or from the system.
- The ability to script key decisions using C#.Net or Vb.net code constructs.
- The ability to develop custom form components using ASP.NET web controls.
- The ability to develop custom workflows using Microsoft Windows Workflow foundation.
The Microsoft Visual Studio Team Environment
Developing our Next Generation software within the Microsoft Visual Studio Team environment from the beginning has helped us to coordinate all of our development activities. The environment allows for a common communication platform between business analysts, architects, developers and testers.
The testing and reporting tools are comprehensive. Code coverage, load testing performance and automated testing help to maintain the quality of our solutions. Nearly 200 source code analysis routines scour the code base for security, performance and consistency issues before it can be formally included in the product.