Retail Trade Capture & Entry
This workflow template illustrates the collection of trade orders from retail, or individual, investors and the subsequent entry, execution, confirmation and report generation related to the trade. Purchase and download this template in PDF, PowerPoint (PPT) and Visio (VSD) formats. You can customize it to fit your own organization, or simply use it to better understand Retail Trade Capture & Entry processes.
What is Retail Trade Capture & Entry?
Retail Trade Capture & Entry refers to a set of activities and sub-processes related to collecting information regarding trades from retail (i.e., non-business/commercial investors) investors and executing trades based on the investor's "order." After the trade details have been captured, they are sent to the middle office for validation. Concurrently, client services staff will ensure that the proper funds are in place to execute the trade. After the trade is successfully executed, a confirmation is sent to the client. In some cases, post-trade adjustments (on day T+1) are required to complete the trade.
Download a Sample Retail Trade Capture & Entry
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