Discover the TRADEliance Resource Guides.
These tools, checklists, and guides provide firms the benefits
of a full consulting engagement for a fraction of the cost.
Why choose TRADEliance Resource Guides?
TRADEliance provides our clients with a framework, allowing them to focus on outcomes without the burden of starting from scratch.
- Focus on Practical Guidance: We created these solutions based on years of hands on experience.
- Distills the Complex Rules: We simplify regulations, saving you the time.
- Creates Confidence in your Ability to Execute: We provide the tools that allow you to get the job done effectively.
TRADEliance Resource Guides are available off-the-shelf or can be created based on your need.
Let us know what you need to make you more effective and efficient.
Use Cases
Trade Confirmation Checklists
The Challenge
Trade confirmation reviews can be challenging when balancing multiple regulations and understanding the nuances of different account types and securities.
The Solution
TRADEliance Trade Confirmation Checklists can be used in the review process by providing relevant rule references and industry guidance. This tool can also be used as either evidence of the completion of the review or as a resource to build out a more robust review process.
The Results
The checklists may help your firm become organized in your trade confirmation reviews. They provide your team with:
- a tool to be the backbone of your process,
- training on the various regulations, and
- confidence that your trade confirmation reviews reflect the requirements of the rules.
Fixed Income Trading Operations Reference Guide
The Challenge
With limited resources, introducing broker-dealers are challenged to create or execute training for new employees covering all the considerations, regulations and best practices relevant for their role.
The Solution
TRADEliance created a reference guide for introducing broker-dealers that includes applicable rules, processes, and best practices to streamline this experience for fixed income trading operations. This guide takes into consideration whether the firm executes bond transactions through an executing broker or if they have their own trade desk.
The Results
The reference guide will help your firm by providing your team:
- training on basic rules and regulations that impact fixed income trading operations,
- the efficiency of having onboarding information readily available in a centralized location
- confidence that your employees have the information they need to perform their roles.