RESEARCH ANALYST ESTIMATES BENCHMARKS AND MODELS

AVAILABILITY CHECK

PORTFOLIO APPRAISAL

CASH ADJUSTMENT OTHER ADJUSTMENTS

MAKE INVESTMENT DECISIONS (PORTFOLIO ANALYSIS)

FORMULATE ORDER SPECIFICS

ELECTRONIC RUN COMPLIANCE COMMUNICATE ORDER TO DESK VERBAL

AUTO ROUTING DIRECT ASSIGNMENT

REBALANCING SLICING CLIENT MGMT AND REPORTING

TARGETING COMPLIANCE RULES ORDERS ROUTED TO TRADER

ACCOUNT RECONCILIATION

MERGE ORDERS

PORTFOLIO REPORTING

A Day in the Life General Equity Business Flow

LIQUIDITY ASSESSMENT

BROKER COMMISSION VS TARGET

OVERNIGHT COMPLIANCE

IOI ASSESSMENT PLACE ORDERS W/ BROKERS ECNs
VERBAL FIX FILE

BROKER ECN

DEPOSITORY

BROKER

PRICING & F/X UPDATES

CORPORATE ACTION UPDATES

RECEIVE FILLS FROM BROKER

ACCOUNTING

FORWARD TRX DETAILS TO RECORDKEEPING SYSTEM

AFFIRM TRADES WITH DEPOSITORY SEND TRADES TO CUSTODIAN FAX SWIFT

CONFIRM TRADE DETAILS WITH BROKER

ALLOCATE EXECUTIONS TO ORDERS

RECEIVE FINAL NOE Avg. Price

CUSTODIAN

1

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