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New Account Survey

Please answer the following questions to help us better understand your business

Account Profile-
Provide details of your account structure-
Account Type
# of Accounts
Separately Managed
Hedge Funds
Mutual Funds
WRAP Accounts
Other
Security Type
Number of Positions Held
Domestic Equity
Domestic Fixed Income
Global Equity
Global Fixed Income
Money Market
Currency
Listed Derivatives
OTC Derivatives
Other
Volume Profile-
Security Type
Daily Trade (buy/sell) Volume
All Transaction Volume
Domestic Equity
Domestic Fixed Income
Foreign Equity
Foreign Fixed Income
Money Markets
Currency
Listed Derivatives
OTC Derivatives
Other
AUM-
Domestic Equity
Domestic Fixed Income
Foreign Equity
Foreign Fixed Income
Money Markets
Currency
Listed Derivatives
OTC Derivatives
Other
Platform Profile-
What order management platform is currently deployed?
What accounting platform is currently deployed?
What performance/ attribution platform is currently deployed?
What client reporting platform is currently deployed?
What reconciliation platform is currently deployed?
Data Source Profile-
How many custodians are used?
What source is used for pricing, reference data and analytics?
Are there requirements to export data to external platforms for services like proxy, reporting and attribution?
Team Profile-
How many full and part time staff members are involved in back and middle office operations?
How frequently are cash and position reconciliations performed?
How frequently is performance calculated?