Investment Management Best Practices

Proven Investment Management Leading Practices to Adopt

  • Best Practices (#270) / Investment Management / Investment Management

    Best Practice (Good)
    When performing valuations on hard to value financial instruments (for example, over the counter [OTC] derivatives) use multiple sources, such as third party administrators and analysts, to put in place a system of checks and balances on valuation numbers.
    Typical Practice (Bad)
    Allow portfolio managers to split valuation activities between associates and analysts and use the data delivered by them to make decisions on final valuation figures.
    Benefits: Improves the accuracy of valuations and ensures that portfolio managers have a robust and comprehensive set of data with which to make decisions.
  • Best Practices (#271) / Investment Management / Client Services

    Best Practice (Good)
    Ensure that all account information is collected from the beginning. Any portfolio accounts that are created without all necessary information will be unapproved until all required information is provided. For online forms, all fields should be turned into required fields.
    Typical Practice (Bad)
    Set up portfolios with only the minimum amount of information needed.
    Benefits: The organization will have all necessary information about clients. There will be no need for rework as representatives will not have to collect information that should have been collected when the portfolio was created.
  • Best Practices (#272) / Investment Management / Investment Planning

    Best Practice (Good)
    Use a combination of technical measures, such as historical price and volume data, as well as fundamental measures, such as PE ratios, to determine the favorable price-points of a security.
    Typical Practice (Bad)
    Research a single strategy of investing that has worked in the past, and ignore other valuation techniques.
    Benefits: A plural research method can help to ensure that a portfolio has the right balance of long-term stability versus short-term leverage.
  • Best Practices (#273) / Investment Management / Investment & Market Research

    Best Practice (Good)
    Implement a research management system (RMS) to more efficiently organize information. Set different levels of access/editing capabilities for other broker dealer groups that regularly use the data to minimize chances of data/file corruption. Use RMS across research management offices nationally or globally.
    Typical Practice (Bad)
    Store research information in a designated location for the Research Management Group on a company's intranet in multiple folders and databases. Provide associates in other departments the file paths for use of this information.
    Benefits: Allows the Research Management Group to centralize and organize information across offices and assists in investment decision justification across broker dealer groups. Also streamlines compliance with governmental regulations and auditing efforts and increases producitivty as information is easily accessible.
  • Best Practices (#274) / Investment Management / Investment & Market Research

    Best Practice (Good)
    Offer integrated views of financial services issues so that each service is always tied to insight of another. Use different platforms to convey this message via publishing of research and white papers, multimedia efforts (such as podcasts and webinars) and industry events.
    Typical Practice (Bad)
    Structure the Research Management Group in a way that researched data and information for each financial service is assembled piecemeal and provided in the form of publications.
    Benefits: Connects the customer and other broker dealer groups to a broader insight into industry markets, trends and economies. Allows the research and information to be easily translated into action.

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