Broker Dealer Account Conversions
This workflow template illustrates the movement of client securities (or other assets) to a prime brokerage account. Purchase and download this template in PDF, Visio (VSD) and PowerPoint (PPT) formats. You can customize it to fit your own organization, or simply use it to better understand Broker Dealer Account Conversions processes.
Related KPIs : Automation Rate: Trade Data Transfer (Equity Derivatives), Cycle Time: Asset Transfer, Unit Cost: Asset Movement
What is Broker Dealer Account Conversions?
The Broker Dealer Account Conversions process involves the movement of client securities (or other assets) to a prime brokerage account. This process includes customer security movement request reception, review of client account (ensure that all client account information is gathered before review begins), review and approval of transfer terms and conditions and electronic transfer of funds to new prime brokerage account. Ensure that the customer is notified when the transfer of funds is finalized.
Download a Sample Broker Dealer Account Conversions
Frequently Asked Questions
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Q: What can a Workflow Template do for me?
A: Boost productivity, efficiency, and service levels! Broken business processes—marked by manual workarounds, downtime, and errors—are all too common. Many businesses write off this waste as “the cost of doing business.” But you know better than that! Simply select the OpsDog Workflow Template that best fits your situation, tweak it to your liking, and then use it to train employees, identify process improvements, inform an IT project, or re-design a workflow. That’s a lot of power in your hands, cheap!
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Q: Your download-able templates look great. But I need something custom. Can you help?
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