Consulting services for Brokerage and Trading firm

Brokerage and Trading Firms

Brokerages and trading firms partner with Acuity Knowledge Partners to reduce cost per research output, increase operational flexibility, improve productivity and streamline their trading operations. We help to increase senior analysts’ bandwidth. Acuity Knowledge Partners take on 30 – 75% of their day-to-day activities related to trading, research, compliance, administration and operations. In-house teams, therefore, are able to spend more time with clients, generate additional new ideas, and expand coverage at a faster pace than their competitors

Brokerage and Trading Firms – Support We Offer

Structured Finance Services
Acuity Knowledge Partners works with specialised structured finance companies and securitisation desks at leading investment banks and institutional investors globally, supporting their key business functions such as asset finance, structuring, portfolio management, research, trading, risk analytics and reporting. Our analysts work as a natural extension of client teams, providing support on critical tasks such as the following:
- Loan tape cracking
- Bespoke cash flow/credit modelling
- Sourcing, organising and mining market data, and tracking custom metrics
- Sell-side/buy-side research and publication
- Valuation, stress testing and scenario analysis
- Custom database/technology and automation solutions
We take pride in our analyst pool with their multi-asset-class experience across functions in the securitisation space. Our deep domain understanding and tool-agnostic approach, coupled with in-house custom technology offerings, enable us to provide highly relevant, efficient and scalable solutions that seamlessly integrate with existing client systems and processes.

Derivatives research and analytics

Data Science
Global technology megatrends, regulatory developments, the competitive landscape and the rise of alternative data have been driving a paradigm shift in the capital markets ecosystem. Demand to find new avenues of alpha creation powered by data science techniques is at unprecedented levels. Acuity has been providing highly bespoke quantitative and technology-powered solutions to our buy-side and sell-side clients since 2005. To address growing demand in recent years, we launched a dedicated data science practice early in 2019 to provide unique and contextual insights based on artificial intelligence (AI) and machine learning (ML).

Pre-trade support
Trade desk Operations (set up teams with series-99 and series-24 resources, if required)
- Client on-boarding and trade enablements
- Trade reviews
- Managing e-trades through various trading platforms
- Reconciling records between different platforms
- Central PoC for electronic changes
Index and Macroeconomic research
- Tracking corporate actions for underlying constituents of trading baskets
- Back testing strategies
Compliance
- KYC
- Remediation and periodic reviews
Trade execution operational support
Trade desk Operations (set up teams with series-99 and series-24 resources, if required)
- Providing specialist support with experience on variety of trading platforms and tools such as ION, Market Axess, MTS BondVision, Bloomberg etc.
- Manning inboxes & live chat platforms for coverage changes
- Real-time cover in coordination with the onshore team
- Trade verification and affirmation
- Clearing auto suspended account notifications
- Maintain and calculate margin balances with broker
Index and Macroeconomic research
- Tracking macro data
- Tracking changes in corporate actions
- Index rebalance strategies
Compliance
- Trade surveillance and monitoring
- Ensure trade fails are properly documented and escalated to business lines
Post-trade support
Trade desk Operations (set up teams with series-99 and series-24 resources, if required)
- Streamlining trade reporting
- Beneficiary accounts mapping to legal entity
- Trade confirmation / reconciliations / raising any settlement issues
- Supporting with Transaction cost analysis
- Supporting with commission sharing agreements
Index and Macroeconomic research
- Analyze trade volumes and price movements
Compliance
- Analyze alerts post-orders/transactions
- Identify possible market manipulation and insider trading
Trade desk Research (Equity and Fixed Income research)
- Financial modeling
- Coverage expansion support
- Coverage maintenance support
- IPOs support
- Earnings support including earnings reviews and previews
- Database creation and maintenance
- IG/ HY / DD support
- KPI driven financial models
- Responding to investor queries on company/industry
- Detailed issuer review reports
- Target screening
- Cap structure review
- Covenant analysis
- Trade flow data analysis and generating insights
Trade desk Technology support
- Developing tools and applications for trade operations
- Robotic Process Automation for trade process to improve efficiency and accuracy
- Integration support for external tools with trading applications / databases
- Providing AI/ ML models implementation / development support
- Trade archiving - trade records are archived for future reference and regulatory compliance

We provide a wide range of Research Operations solutions tailored for brokerage, trading and investment banking firms:
- CRM & DATA MANAGEMENT
- De-duplication, bulk-cleansing, validation & migration
- Data management & administration
- End-to-end CRM implementation
BUSINESS INTELLIGENCE
- Readability statistics, commission reports, and KPI trackers
- Custom charting and powerful dashboards
- Interactive visualizations through tools including Tableau and PowerBI, etc.
RESEARCH ADMIN SUPPORT
- Executive/Personal assistant support
- Calendar management
- Onboarding and providing entitlements access to clients
- Day-to-day operational support
- Consumption reporting
BROKER VOTE ANALYTICS
- Scorecard template design
- Book-keeping of broker votes
- Automated scorecard and MIS
- Customized MIS/dashboard/scorecards for COO teams
- Integrating with internal databases
EXPENSE & INVOICE MANAGEMENT
- Travel & expenses
- Data subscriptions
- Reconciliation with contracts
- Approval coordination
- Periodic reports
CORPORATE ACCESS
- Event updates and corporate access database management
- Calendar management (including meetings and training schedules)
- Event status reports, feedback analysis
- On-the-ground support in China
TRADE DESK OPERATIONS SUPPORT
- Submitting and monitoring enablement requests from third-party platforms
- Maintain enablement records for sales coverage updates, booking code mapping changes, and legal entity mappings
- Perform regular reconciliations and maintenance activities

Sector research support services
- Sector primer
- Sector note
- Sector and Industry reports
- Thematic research support
- Sector database creation and update
- Sector specific financial models
- Sector specific newsflow analysis
Sector research expertise
Our extensive pool of sector analysts covers all tiers of GIC sectors and industries. Our robust knowledge management and training programs encompass over 35 sectors, enabling knowledge transfer from in-house sector experts to all research analysts at Acuity.
- CONTINUOUS EDUCATION PROGRAM: In-house Acuity sector experts regularly conduct sessions for all research analysts on latest sector trends, valuation metrics, and analytical nuances
- SECTOR PRESENTATIONS: Detailed presentations covering industry value chain, revenue and cost drivers, valuation methodologies, etc.
- SECTOR SAMPLE MODELS: A real-life, comprehensive working model that incorporates sector-specific valuation and operating metrics
- SECTOR CHEAT SHEETS: Covers key indicators, trends etc., on sectors for quick understanding and memory refresh

Brokerage and Trading Firms – Support We Offer

Pre-trade support
Trade desk Operations (set up teams with series-99 and series-24 resources, if required)
- Client on-boarding and trade enablements
- Trade reviews
- Managing e-trades through various trading platforms
- Reconciling records between different platforms
- Central PoC for electronic changes
Index and Macroeconomic research
- Tracking corporate actions for underlying constituents of trading baskets
- Back testing strategies
Compliance
- KYC
- Remediation and periodic reviews
Trade execution operational support
Trade desk Operations (set up teams with series-99 and series-24 resources, if required)
- Providing specialist support with experience on variety of trading platforms and tools such as ION, Market Axess, MTS BondVision, Bloomberg etc.
- Manning inboxes & live chat platforms for coverage changes
- Real-time cover in coordination with the onshore team
- Trade verification and affirmation
- Clearing auto suspended account notifications
- Maintain and calculate margin balances with broker
Index and Macroeconomic research
- Tracking macro data
- Tracking changes in corporate actions
- Index rebalance strategies
Compliance
- Trade surveillance and monitoring
- Ensure trade fails are properly documented and escalated to business lines
Post-trade support
Trade desk Operations (set up teams with series-99 and series-24 resources, if required)
- Streamlining trade reporting
- Beneficiary accounts mapping to legal entity
- Trade confirmation / reconciliations / raising any settlement issues
- Supporting with Transaction cost analysis
- Supporting with commission sharing agreements
Index and Macroeconomic research
- Analyze trade volumes and price movements
Compliance
- Analyze alerts post-orders/transactions
- Identify possible market manipulation and insider trading
Trade desk Research (Equity and Fixed Income research)
- Financial modeling
- Coverage expansion support
- Coverage maintenance support
- IPOs support
- Earnings support including earnings reviews and previews
- Database creation and maintenance
- IG/ HY / DD support
- KPI driven financial models
- Responding to investor queries on company/industry
- Detailed issuer review reports
- Target screening
- Cap structure review
- Covenant analysis
- Trade flow data analysis and generating insights
Trade desk Technology support
- Developing tools and applications for trade operations
- Robotic Process Automation for trade process to improve efficiency and accuracy
- Integration support for external tools with trading applications / databases
- Providing AI/ ML models implementation / development support
- Trade archiving - trade records are archived for future reference and regulatory compliance

We provide a wide range of Research Operations solutions tailored for brokerage, trading and investment banking firms:
- CRM & DATA MANAGEMENT
- De-duplication, bulk-cleansing, validation & migration
- Data management & administration
- End-to-end CRM implementation
BUSINESS INTELLIGENCE
- Readability statistics, commission reports, and KPI trackers
- Custom charting and powerful dashboards
- Interactive visualizations through tools including Tableau and PowerBI, etc.
RESEARCH ADMIN SUPPORT
- Executive/Personal assistant support
- Calendar management
- Onboarding and providing entitlements access to clients
- Day-to-day operational support
- Consumption reporting
BROKER VOTE ANALYTICS
- Scorecard template design
- Book-keeping of broker votes
- Automated scorecard and MIS
- Customized MIS/dashboard/scorecards for COO teams
- Integrating with internal databases
EXPENSE & INVOICE MANAGEMENT
- Travel & expenses
- Data subscriptions
- Reconciliation with contracts
- Approval coordination
- Periodic reports
CORPORATE ACCESS
- Event updates and corporate access database management
- Calendar management (including meetings and training schedules)
- Event status reports, feedback analysis
- On-the-ground support in China
TRADE DESK OPERATIONS SUPPORT
- Submitting and monitoring enablement requests from third-party platforms
- Maintain enablement records for sales coverage updates, booking code mapping changes, and legal entity mappings
- Perform regular reconciliations and maintenance activities

Sector research support services
- Sector primer
- Sector note
- Sector and Industry reports
- Thematic research support
- Sector database creation and update
- Sector specific financial models
- Sector specific newsflow analysis
Sector research expertise
Our extensive pool of sector analysts covers all tiers of GIC sectors and industries. Our robust knowledge management and training programs encompass over 35 sectors, enabling knowledge transfer from in-house sector experts to all research analysts at Acuity.
- CONTINUOUS EDUCATION PROGRAM: In-house Acuity sector experts regularly conduct sessions for all research analysts on latest sector trends, valuation metrics, and analytical nuances
- SECTOR PRESENTATIONS: Detailed presentations covering industry value chain, revenue and cost drivers, valuation methodologies, etc.
- SECTOR SAMPLE MODELS: A real-life, comprehensive working model that incorporates sector-specific valuation and operating metrics
- SECTOR CHEAT SHEETS: Covers key indicators, trends etc., on sectors for quick understanding and memory refresh

How we are different

Market Pioneers

Pioneer in capital markets, with two-decade record supporting global teams on equity, credit, ESG and macro/quants research; data science and research publishing

DECODING INTELLIGENCE AROUND THE CLOCK AND ACROSS GEOGRAPHIES

Delivery centres in Bangalore, Gurgaon, Colombo, Beijing and San José, providing multi-language, near-shore and offshore support amid heightened competition for talent

EXPERIENCED TEAM TO UNDERTAKE COMPLEX TASKS

Internal network of sector experts and trainings, CFA-accredited training programmes and continued education programmes, which ensure highly trained and effective analysts support multiple asset classes and functions of stock brokerage and trading firms

UNPARALLELED EXPERTISE IN MANAGING THE ENTIRE TRADE LIFE CYCLE

Our team of experienced analysts provides pre-trade, trade execution operational support, and post-trade support in various areas, including trade desk research, trade desk operations, index and macroeconomic research, compliance, and technology support