Office Types

Question 1

WM: Front Office

Answer 1

• Prep and Meetings
– Sales
– Advice
•Investment related

Question 2

WM: Middle Office

Answer 2

• Docs
– Prepare
– Gather
– Signature
• System
– Setup
– Reconciliation
• Monitor
• Demographic Changes
• Requests
– Special
– Handle
•  Billing
• Authentication
• Distribution
• Performance
• Tax
• Reprint and Mail

Question 3

WM: Back Office

Answer 3

• Cash Operations
• Trade Order Entry
• Post-trade
• Reconciliations

Question 4

Middle Office: Summary

Answer 4

Order Control: different parts of client order
• Databases
– Client
– Security
• Order match system: specific input fields are complete and formatted correctly