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FIA OPERATIONS DIVISION AND LAW & COMPLIANCE PRESENT SECURITY FUTURES PRE-LAUNCH. Last Minute Legal and Regulatory Requirements. Qualification of the Firm Qualification of Account Executives Qualification of Principals Qualification of Accounts Disclosures. Firm Preparation.
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FIA OPERATIONS DIVISION AND LAW & COMPLIANCE PRESENT SECURITY FUTURES PRE-LAUNCH
Last Minute Legal and Regulatory Requirements • Qualification of the Firm • Qualification of Account Executives • Qualification of Principals • Qualification of Accounts • Disclosures
Firm Preparation • Necessary Supervisory Systems • Written Policies and Procedures • Suitability • Best Execution • Promotional Material
Last Minute Operational Issues • Testing • Fees • Corporate Actions • Account Set-Ups
Last Minute Business Issues • Expected Clients • Sales Efforts • Logistical Issues • Growth Prospects
Important IT Considerations • Straight Through Processing • Connectivity and Impact on Firm Infrastructure • Automating Prosesses • Impact on Tax Preparation