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    Two Flows

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    farooqjunaid
    This document outlines the general workflow for an equity trading business. It shows the key steps and functions involved, including portfolio analysis and investment decisions, order specification and routing, trade execution, confirmation, settlement, and accounting. The goal is to enhance investment tools, improve operational efficiency, and extend client and distribution channels through an integrated reference data and portfolio management system connected to trading, compliance, and reporting functions.

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    Attribution Non-Commercial (BY-NC)
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    Two Flows

    Uploaded by

    farooqjunaid
    12 views2 pages
    This document outlines the general workflow for an equity trading business. It shows the key steps and functions involved, including portfolio analysis and investment decisions, order specification and routing, trade execution, confirmation, settlement, and accounting. The goal is to enhance investment tools, improve operational efficiency, and extend client and distribution channels through an integrated reference data and portfolio management system connected to trading, compliance, and reporting functions.

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    two flows

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    This document outlines the general workflow for an equity trading business. It shows the key steps and functions involved, including portfolio analysis and investment decisions, order specification and routing, trade execution, confirmation, settlement, and accounting. The goal is to enhance investment tools, improve operational efficiency, and extend client and distribution channels through an integrated reference data and portfolio management system connected to trading, compliance, and reporting functions.

    Copyright:

    Attribution Non-Commercial (BY-NC)
    Download as PPT, PDF, TXT or read online from Scribd
    Download as ppt, pdf, or txt
    12 views2 pages

    Two Flows

    Uploaded by

    farooqjunaid
    This document outlines the general workflow for an equity trading business. It shows the key steps and functions involved, including portfolio analysis and investment decisions, order specification and routing, trade execution, confirmation, settlement, and accounting. The goal is to enhance investment tools, improve operational efficiency, and extend client and distribution channels through an integrated reference data and portfolio management system connected to trading, compliance, and reporting functions.

    Copyright:

    Attribution Non-Commercial (BY-NC)
    Download as PPT, PDF, TXT or read online from Scribd
    Download as ppt, pdf, or txt
    of 2

    RESEARCH

    BENCHMARKS
    ANALYST AND AVAILABILITY
    ESTIMATES MODELS CHECK

    CASH MAKE INVESTMENT FORMULATE ELECTRONIC AUTO


    PORTFOLIO ADJUSTMENT ORDER RUN COMMUNICATE ROUTING
    DECISIONS
    APPRAISAL SPECIFICS COMPLIANCE ORDER TO VERBAL
    OTHER (PORTFOLIO ANALYSIS) DESK DIRECT
    ADJUSTMENTS ASSIGNMENT

    REBALANCING TARGETING
    COMPLIANCE ORDERS
    RULES ROUTED TO
    SLICING TRADER

    CLIENT
    MGMT AND
    REPORTING MERGE
    ACCOUNT ORDERS
    RECONCILIATION

    BROKER
    A Day in the Life LIQUIDITY COMMISSION
    PORTFOLIO ASSESSMENT VS TARGET
    REPORTING
    General Equity Business Flow
    IOI
    ASSESSMENT
    OVERNIGHT
    COMPLIANCE PLACE
    ORDERS W/ VERBAL
    BRO KER
    BROKERS FIX ECN
    ECNs
    FILE

    RECEIVE
    D E P O S IT O R Y BRO KER FILLS FROM
    BROKER
    PRICING & F/X CORPORATE
    UPDATES ACTION UPDATES

    AFFIRM TRADES
    WITH
    DEPOSITORY CONFIRM TRADE ALLOCATE RECEIVE
    FORWARD TRX DETAILS TO DETAILS WITH EXECUTIONS FINAL NOE
    ACCOUNTING
    RECORDKEEPING SYSTEM BROKER TO ORDERS Avg. Price
    SEND TRADES
    TO CUSTODIAN

    FAX SWIFT

    C U S T O D IA N

    1
    Enhance Investment Tools…
    Improve Operational Efficiency…
    Extend Client and Distribution Channel…

    Reference Data Maintenance Fund/Custodial Servicing


    Issuer, Issue, Benchmark, Ratings, Limits,
    Accounts/Relationships, Brokers, Portfolio Views… Cash, Collateral,…
    Market Data
    Prices, Ratings,
    Indicatives, Analytics Allocated Trades and
    Issuer/Issue Relationship Supporting Transactions

    Portfolio Management
    Confirmation
    Research
    Credit Ratings/Tiers,
    Limits, Downgrades Settlement
    Issuer Relationships
    Compliance Valuation
    Accounting

    Trading Performance
    Securities, Analytics
    Electronic Holdings, Lots,
    Trading Venues Perf.

    Brokers
    Account Reconciliation
    TradeWeb MarketAxess BB
    MBS EPN IFX/FX ALL

    Risk/Analytics & Risk Reporting


    Enterprise, Style and Portfolio Specific Client Management
    Reporting/Portals

    Distribution
    Servicing/Portals

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