FOR PRIME BROKER TEAMS

More Control, Less Risk

Turn your Prime Broker settlement transaction process into a well-oiled digital machine. Prime Broker Integrated Network from Loffa Interactive is an online tool that gives your team more control over agreements while minimizing critical risks. With centralized documentation and digital updates on industry forms, staying compliant becomes a whole lot simpler.

 

 

Instant Digital Updates

Provides you with instant electronic updates associated with the

exchange of Prime Broker industry forms, such as SIA Form 150,

SIA Form 151, and  Amendment to Form 1-Schedule A.

 

 

 

Unprecedented Control

Control established regulatory-approved account agreements and minimize

critical risks associated with Prime Broker settlement transactions.

 

 

 

Easy Document Tracking

Provides a centralized document-tracking tool that allows your Prime Broker team to easily manage workflows via the system’s comprehensive dashboard.

 

 

 

Less Risk And Fewer Rejections

Reduces your firm’s risk and unnecessary rejections (DKs) due to missing Prime Broker agreements or documentation.

 

 

 

Meets Regulatory Requirements

Easily adapts to industry rules and regulations. Allows for customized business reporting needs and meets all regulatory electronic storage requirements.

 

 

 

Frees Up Valuable Time

Increases staff efficiency and productivity due to reduction in phone calls and elimination of manual faxes.

 

Compliance and Regulatory Requirements

Your settlements and transfer of accounts staff handles thousands of securities transactions daily. Errors made in securities transfers occur daily costing your staff time and goodwill to your clients. In accordance with both NYSE Rule 412 D and NASD Rule 11870 (g)(3), the member organization in receipt of the claim must resolve it within 5 business days.

Prime Broker Integrated Network™ effortlessly and securely addresses this process.

© 2020 by Loffa Interactive Group

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