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Advisor Solutions

Comprehensive solutions for investment advisors and the home office

Most broker dealers are trapped in old routines of using disparate, antiquated systems or manual processes to piece together a picture of their books & records and a client’s full portfolio. Inconsistent data records, high percentage of NIGO’s and a lack of automation have been compounded by an increased regulatory environment that puts broker dealers at risk. Our solutions leverage the power of DST to integrate existing solutions with new features and functions.

With our solutions, you can:

  • View your full book of business or a client’s full portfolio
  • Automate electronic account onboarding, order management, workflows and compliance
  • Better comply with Suitability, KYC and Reporting regulations
  • Operate from anywhere with full mobile access
  • Reduce manual intervention, risks and NIGOs
  • Optimize costs and efficiencies
  • Deliver service excellence to your client relationships

Consolidated Data. Quality Reporting.

Our advisor portfolio management function is an aggregation and reporting platform that consolidates data from major clearing firms as well as mutual fund and variable annuity companies, allowing broker-dealers and advisors to more effectively perform a range of transactions. By consolidating data from multiple sources, our solution allows you to:

  • View your client’s systematically aggregated household portfolio of accounts
  • Generate dealer-branded reports with dealer-approved disclaimers
  • Produce simplified consolidated, branded electronic or printed statements

Electronic processing direct to manufacturer

Our electronic account onboarding solution completes the account opening process with straight-thru-processing to the product manufacturer, while providing the home office with transparent oversight tools.

The system:

  • Leverages existing client relationship information to provide continuity and consistency
  • Speeds up the account opening process
  • Reduces manual intervention with straight-through processing on the back end

Our electronic onboarding feature helps:

  • Reduce NIGOs and manual errors
  • Reduce time to open a new account from end to end
  • Lower costs
  • Increase satisfaction for you and your clients

Virtualization of an order management process

Our trading solution for direct investment products provides communications throughout the workflow allowing you to track the stages and progress of orders.

This feature offers:

  • Tracking of the stages and progress of orders
  • Electronic review and release for principals and supervisors to speed the approval process
  • Direct connection to providers through an interactive and intuitive workflow application

Our electronic trading feature helps you:

  • Improve communication and ability to track orders
  • Increase speed of the order process
  • Reduce NIGOs
  • Reduce costs associated with manual errors

Alleviate the pain of manual compliance processes

Our compliance solution provides surveillance, compliance and reporting for broker dealers through a daily analysis of all transactions, orders and account holdings. Our U.S. solution is centered around FINRA and SEC regulations, while our Canadian solution is centered around IIROC regulations. With our compliance solution, you’ll spend much less time identifying potential compliance issues so you’ll have more time to resolve them.

The compliance solution provides:

  • Automated, rather than manual, surveillance
  • Surveillance, compliance and reporting through a daily analysis of all transactions, orders and account holdings
  • Trade blotter with electronic sign-off to improve efficiency, saving 80 percent of the time needed to identify potential compliance issues
  • Automated testing and alerts against a robust compliance rules library
  • Highly customizable reports and persistent audit trail to track evidence needed to document your controls
  • Evidence of supervision
  • Intuitive case and workflow management
  • Optimized risk and cost management
  • Comprehensive Suitability, KYC, AML, and CRM reviews

Business process solutions for a real performance advantage

Our BPM solution seamlessly supplies integrated, end-to-end processing for any workflow process you want to improve, including a wide range of maintenance and transaction-based records. With our solution’s intuitive approval routing functionality, your entire document management process can be streamlined and automated. The system handles any workflow challenge, including maintenance and transaction-based records, with integrated, end-to-end processing.

The Business Process Management solution helps:

  • Reduce processing time
  • Improve monitoring and audit trails
  • Provide a unified view across multiple systems
  • Streamline advisor service management
  • Simplify compliance
  • Improves operational efficiency
  • Reduce errors by alleviating manual intervention

Fulfillment and direct mail solutions to increase client satisfaction

DST’s fulfillment and direct mail solutions and technologies are renowned for increasing productivity and satisfaction. We leverage DST’s services to help clients strike the right balance between postal and electronic communications. This includes delivery of printed and digital bills, statements and financial documents. All communications comply with new regulations and industry guidelines.

Our fulfillment and direct mail solutions give you the opportunity to:

  • Deliver printed and digital bills and statements
  • Pursue new marketing opportunities
  • Rest assured of compliance with government regulations and industry guidelines

Connect. Communicate. Collaborate.

Our enterprise social media platform powers the content aggregation, community, collaboration, and analytics aspects of your social business. With DST Prime’s social media solution, you can connect, communicate and collaborate across your company and with your clients.

This flexible, easy-to-use function allows you to:

  • Aggregate your social media tools into one consolidated view
  • Integrate social components with other business applications
  • Improve & accelerate communication with employees, partners, or clients

You can manage all aspects of your social media tools quickly and efficiently, including:

  • Content aggregation
  • Community
  • Collaboration
  • Analytics