FIA OPERATIONS DIVISION AND LAW

1
FIA OPERATIONS DIVISION AND LAW COMPLIANCE
PRESENT SECURITY FUTURES PRE-LAUNCH
2
Last Minute Legal and Regulatory Requirements

• Qualification of the Firm
• Qualification of Account Executives
• Qualification of Principals
• Qualification of Accounts
• Disclosures

3
Firm Preparation

• Necessary Supervisory Systems
• Written Policies and Procedures
• Suitability
• Best Execution
• Promotional Material

4
Last Minute Operational Issues

• Testing
• Fees
• Corporate Actions
• Account Set-Ups

5
Last Minute Business Issues

• Expected Clients
• Sales Efforts
• Logistical Issues
• Growth Prospects

6
Important IT Considerations

• Straight Through Processing
• Connectivity and Impact on Firm Infrastructure
• Automating Prosesses
• Impact on Tax Preparation