PLIA for Investment Advisors

Investment Advisors face several fundamental challenges managing counterparty relationships. These challenges include:

  • Hundreds of counterparties and no standardized best practices

  • Market structure complexities and conflicts-of-interest

  • Increased regulations, penalties and lack of global standards

 

PLIA can help!

Due Diligence

Allow users to create customized questionnaires specific to their group and counterparty information needs.

 

Choose from a central repository of questions collected from your peers and regulation authorities.

 

View online and real-time broker progress in responding to requests.

 

Reject insufficient responses back to the broker.

 

Manage and centralize the broker approval / onboarding process.

 

Assign review responsibility to specific individuals in different areas within the firm (e.g Legal, Compliance, Trading). 

 

Print reports for compliance records, due diligence committees and regulatory audits. 

 

 

 

 

 

 

 

 

 

Best Execution Overview

Send data requests for generic requests and attestations of documents. 

 

Setup automatic requests for information (weekly, monthly, yearly).

 

Manage and confirm order handling/routing agreements.

 

Integrate TCA metrics for supervisory review and/or warehousing of reports.  

 

Provide a supervisory review of trade exceptions/outliers with audit trail approvals.

 

Online tracking of Gifts/Entertainment by broker.

Create counterparty configurations for trading algo customizations, ATS/MTF routing preferences and ELP/SI preferences.

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