We Currently Offer:
Trade Operations: We firms review, design, and implement procedures for receiving, processing, and reconciling trade orders from clients and executing trades on behalf of clients. This includes trade confirmations, trade settlement, and trade reconciliation.
Portfolio Reconciliation: We help review, design, and implement programs for reconciling portfolio positions, market values, and cash balances with custodians and other third-party service providers. We also provide robust outsourcing options to help small firms manage daily reconciling task.
Fee Billing: we can both provide audit services and help automate the calculating and billing fees to clients, including management fees, performance fees, and other fees as applicable. This includes fee reconciliation and fee allocation.
Corporate Actions: Our unique approach allows us to institute guidelines for monitoring and processing corporate actions, such as stock splits, dividends, and mergers, and ensuring accurate reconciliation of resulting positions and cash balances. We have experience working with all the premier Broker Dealers and their internal reporting systems.
Account Administration: Opening and maintaining client accounts, ensuring compliance with client documentation requirements, and processing account transfers. We can also help firm digitizing documentation and SEC record keeping requirements.
Reporting: Providing timely and accurate reporting to clients, including performance reports, account statements, and tax reporting.
Compliance Monitoring: Monitoring and reporting on compliance issues related to operations and reconciliation, including regulatory requirements and internal policies and procedures.
Risk Management: Assessing operational and reconciliation risks associated with the investment adviser's business and recommending mitigation strategies.