Prime Brokerage Account Opening

Workflow Template

Prime Brokerage Account Opening

Workflow Template

This workflow template illustrates the initial setup and opening of new prime brokerage customer accounts. Purchase and download this template in PDF and Visio (VSD) formats. You can customize it to fit your own organization, or simply use it to better understand Prime Brokerage Account Opening processes.

Related KPIs : New Brokerage Accounts Opened per Prime Brokerage Employee, Number of Prime Brokerage Client Accounts, clients per Registered Investment Advisor

What is Prime Brokerage Account Opening?

The Prime Brokerage Account Opening process involves the initial setup and opening of new prime brokerage customer accounts. This process includes customer account opening request reception, customer information collection (contact customer, if needed, to obtain any missing information or documentation), submission of information to prime brokerage compliance group, account number assignment and initial funds transfer. Ensure that the customer is notified when the account is opened. Prime brokerage services are typically provided by most large brokers to other large institutions and hedge funds.

Download a Sample Prime Brokerage Account Opening

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