Discover TRADEliance Resource Guides
TRADEliance creates user-friendly solutions and resources for clients regardless of their hurdles or restrictions.
- Confidence: Integrate effective tools that give you the ability to execute.
- Expertise: Utilize special material experts’ knowledge with practicable, hands-on experience.
- Efficiency: Use your time on focusing on what needs to get done day-to-day.
- Lower Cost Solutions: Access the assistance you need with a budget friendly solution.
Types of Resource Guides
Rule Recaps
Rule Recaps provide users with rule information in a simplified format.
Client Use:
- Understand rules and regulations to help create or evaluate process and procedures.
- Create regression testing or supervisory reviews with improved comprehension of the rule.
- Improve training for both new and existing employees.
Reference Guides
Reference Guides provide the user with a quick resource or job aid to be used within their regular job function.
Client Use:
- Access to data values, definitions, or rule references used for day-to-day processing.
- Create regression testing or supervisory reviews with improved comprehension of the rule or process.
- Utilize as a resource for personnel who may not be familiar with information contained in the guide
Checklists
Checklists provide users with a tool incorporating steps they need to take or consider.
Client Use:
- Assist personnel in evidencing the completion of a task or review.
- Utilize as building blocks for creating internal solutions.
User Guides
User Guides provide users with detailed information and functional context relevant to their specific function or role.
Client Use:
- Utilize a single document containing consolidated aspects of multiple rules and guidance that impact a specific area of business.
- Easily reference basic concepts, information, and considerations relevant to their job function.
Resource Packets
Resource Packets provide users with comprehensive information and tools for assistance complying with complex regulations.
Client Use:
- Obtain an in-depth tool which includes rule breakdowns, checklists, and/or considerations for a particular topic.
- Become more organized and efficient in completing complex tasks or reviews.
- Utilize the Resource Packet to enhance internal processes or procedures.
Custom Resource Guide
Custom Resource Guides can be created upon request to provide users with firm specific information, processes, or procedures.
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 User 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.