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Requirement/Onboarding Form:
Approx time required: 5 min
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Your Name:
*
Your answer
Title:
*
Your answer
ETA to "Go-Live" :
2 Month
4 Month
More
ASAP
Clear selection
Email Address :
*
Your answer
Phone:
*
Your answer
Your Company Name:
*
Your answer
Website URL:
Your answer
Company Address:
Your answer
Type of your Firm:
*
Broker Dealer
Prop Shop
Professional Fund
Wealth Advisor
Investment Manager
Clearing Firm
Other:
Required
MPID/Exchange ID/LEI/IMID:
Your answer
Requirements:
Asset Class Support Required:
Equities
Options
ETF's
Futures
Fixed Income
Commodities
Currencies
Other:
System Required:
OMS
EMS
BackOffice
External Drop Copy(for Clearing/CAT/OATS)
Other:
Hosting type Required
Shared Model
Dedicated/Enterprise Model
Clear selection
Market Coverage:
U.S
Canada
Europe
APAC
South America
OMS Functionality:
Equity Orders(Single)
High touch flow (Care/Manual)
Low touch flow (routing based on rules)
Basket Trading
Quotes Viewer
Level 2/T&S
Portfolio/Positions window(built from clr firm provided positions/balances)
Charts
Order Blotter
Algo Routing
Pairs/Risk Arb
Options Trading
Mult-leg Orders
Block Orders
Other:
List of Routing Destinations Required:
ARCA,INET,UBSS, BATS, AMEX , SUSQ, ISE, NITE, Fidelity, TD Ameritrade, ThinkPipes, etc
Your answer
Number of Clients sending electronic flow:
Your Buy side Clients, Firms sending orders to you
Your answer
BackOffice Functionality:
Allocation
OASYS Direct (for US only)
OASYS CTM (for International & US)
Risk Management
Invoice Generator
Recaps
Billing
Customized Reports
CSA
Compliance
Multi Clearing
Other:
Clearing and Reporting:
Clearing Firm Name/DTC Code/Number:
Example: JP Morgan Clearing Corporation / JPMC/ 0352
Your answer
Clearing Firm Rep Name for your firm/Email/Phone:
Your answer
Clearing Firm Rollout Schedule:
Quarterly
Monthly
Clear selection
EOD trade upload Required to any other firm (Name):
Your answer
Finra Reporting Requirement:
OATS
TRF/ORF
CAT
Other:
NYSE MRO Pillar Files Processing Required?
Yes
No
Clear selection
Reports Required (Monthly client invoices, daily recaps emails, Reg rep comm, co comm, exec fee)
Your answer
Reports Required
Monthly client invoices
Volume/Venue Report (Volumes against each Venue with accounts breakdown)
RR(Registered Rep) Comm Report
Executions/Liquidity Cost Report
Pre-Post Trade Vendors/TCA/606:
TAGAudit
IHS Markit
Quantarena
LiquidMetrix
RegOne
firm58
HealthyMarkets.org
CompluSci
Capital Market Solution
Global Trading Analytics
Abelnoser
Other:
Market Data Vendors:
Activ
Thompson
Bloomberg
Other:
Estimated Load:
Number of Accounts:
Your answer
Number of OMS Terminals Required:
Your answer
Number of Backoffice & Compliance users required:
Your answer
Average Daily Stock Orders Count:
For example 2,000 orders a day
Your answer
Average Daily Stock Fills Count:
Your answer
Average Daily Option Orders Count:
Your answer
Average Daily Option Fills Count:
Your answer
Average Daily Vol. Stock:
For example 2 mln shares
Your answer
Average Daily Vol. Options:
Your answer
Current OMS in use:
Example: Fidessa/SS&C/Flex/EZE
Your answer
Reason to switch OMS/Backoffice System:
Your answer
Would you like to see any other custom functionality?
Your answer
Submit
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