1 27 april 2004 cfs division day – new york hcue product demonstration walter garcia business...
TRANSCRIPT
127 April 2004 CFS Division Day – New York
hCue Product DemonstrationhCue Product Demonstration
Walter Garcia Business Analyst
227 April 2004 CFS Division Day – New York
Intelligent tool for capturing corporate structure, management and ownership Corporate calendar to organize board meetings, communication and compliance Detailed record of insider stock transactions and integrated electronic reporting to
the SEC
CustomerNeed
CustomerNeed
Comply with new SEC, Sarbanes-Oxley requirements Record and manage changes to corporate structure, management and ownership Effective method for reporting insider stock purchases and sales to SEC
Web-based for easy access and collaboration, supporting the Fortune 1000 Efficient re-use of data to pre-populate and complete electronic compliance filings Increases corporate transparency in an era of increased scrutiny
Improved process for managing corporate compliance and governanceImproved process for managing corporate compliance and governance
hCue Cements CT's Role as the Expert Custodian of the Main Corporate RecordhCue Cements CT's Role as the Expert Custodian of the Main Corporate Record
SolutionSolution
Integrated corporate records management and compliance toolIntegrated corporate records management and compliance tool
ValueValueValueValue
Centralized repository for corporate compliance and governanceCentralized repository for corporate compliance and governance
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High - Level view of the organization
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Manage corporate records and create relationships between the records
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View of modules
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Compliance Scheduler allows the Corporate Secretary to setup filing deadlines for state filings
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hCue’s built in intelligent engine schedules up coming compliance for state filing within jurisdictions the entity performs business
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Universal Corporate Calendar with color-coded legend allows the corporate secretaries manage, see and prioritize all of the deadlines.
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Manage Capital Structure – Shares of Ownership vs Percent of Ownership
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Define Securities for Corporations
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Manage Ownership
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Select Activity to see detail
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At a glance view ownership of securities
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95% of ownership forms were paper filings 5% in HTML electronic filings
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Sarbanes-Oxley Act of 2002Sarbanes-Oxley Act of 2002
To create more transparency of Officers and Directors of public corporations
US Congress mandates the Securities and Exchange Commission (SEC) comply by making what Insiders and officers of public do with shares of their corporation
As of 2002 June 6, SEC require electronic filing of forms 3, 4 and 5 within 2 days of the transaction.
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hCue’ re-use of records creates transactional history of ownership
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Enter an activity with footnotes
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hCue intuitively supplies a link to view the Form this transaction belongs on
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View pseudo form rendering and validate information
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Submit e-File Test or e-File Live
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HTML rendering for electronic submission and printing
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View statuses of filing
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hCue is the ONLY e-filing system of forms 3, 4, and 5 that monitors filings to notify the CS of the filing.
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Easy reporting menu
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Reconcile filings
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• hCue is the only web based SEC reporting tool with records management
•hCue is the only web based SEC reporting tool which auto creates and populates Forms 3, 4, and 5 based on your entity corporate record keeping
•hCue is the only true end to end solution for the corporate secretary to notify from within the product that the filings are accepted
•hCue is the only SEC reporting tool with its own email server to notify the CS of the email message from the SEC
•Since hCue is an web application the corporate secretary can file from anywhere in the world the CS has access to the internet.
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2827 April 2004 CFS Division Day – New York
2004-2005
hCue: Manages and tracks entities, officers, shareholders, ownership
hCue expands CT’s Role in Corporate Compliance and GovernancehCue expands CT’s Role in Corporate Compliance and Governance
Electronic Filing of SEC 16 Forms 3, 4 & 5
@
Board of Directors
Officers
Shareholders
Committees
Annual Report
Federal Regulatory Filing
Board Meeting
Annual Shareholder Meeting
Integrates with CTAdvantage.com’scompliance tools
Multi-purpose corporate calendar for compliance and
scheduled events
Communication with key stakeholders
SEC Insider management and electronic 3, 4, and 5
filings
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Questions