BrokerFabrik: run your brokerage business with one integrated platform

Run your brokerage business with one powerful solution.

A Product

The all-in-one software system for brokerage firms that integrates a unique client trading experience with a robust operational backbone.

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A changing environment brings new success factors for brokerage businesses

3Oiver Wyman, 2015

Cost effective setup Efficient compliance Engaging user experience Future-proof systems

Current technology setups do not broadly fulfill these requirements

Software-as-a-Service with monthly subscription fee

Pay as you grow

Integrated systems with data continuity

Advanced control tools eliminating manual work

Always-on mobile and desktop channels

Targeted information driving user activity

Innovation-as-a-Service continually delivering new features

Open architecture

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Appealing client trading offering, enabling differentiation and driving trading activity

Advanced business operations features that help reduce costs and complexity

Customisable Software-as-a-Service offering with modular architecture

Full integration with existing legacy setup and systems

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The one robust front-to-back solution brokerage firms need to lead their business into the future.

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Sophisticated features transform the brokerage business proposition

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For Clients

For the Business

Powerful online and mobile platform for trading anywhere, anytime

Elaborate analytical and management features to stay informed and in control

Middle office capabilities ensuring productive operations

Optimised client management and interaction tools to stay in touch with users

Compliance and supervisory components for efficient control of regulatory risks

Open architecture that flexibly integrates preferred partners with minimal effort

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BrokerFabrik brings delight to Clients…

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Research Trading Portfolio Analytics Account Management

Fast company search

Company profiles & stats

Advanced charting

Analyst recommendations

Industry and corp. news

Industry peers lists

Streaming quotes

Easy trade capture

Order vetting

Compliance checks

Buying power check

Order routing & execution

Audit trail

Position keeping

Client holdings

Portfolio performance

Asset allocation

Total historical returns

Single position returns

Buying power

User account management

Cash and stock transfers

Corporate actions

Election notifications

Nominee vs. sub-registry

Entitlements processing

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… and efficiency to the Business

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Client Management Middle Office Operations Compliance & SupervisionAccounting & Payments

Digital account opening

Account management

Fees settings

Client support

Communication channels

ChatBot

Administration cockpit

Order management

Post-trade processing

Settlement cycles

Trades history and search

Inventory management

Firm chart of accounts

General ledger interface

Sub-ledger, cash balances

Trades accounting engine

Book of records

Deposits and withdrawals

Settlement obligation view

Events screen

Full audit trail logs

Permissions control center

Operations monitoring

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The BrokerFabrik effect on User Experience

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Research & Charting

Trading

Portfolio Mgmt

Move from this… …to a truly engaging solution.

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Differentiating features in product pipeline

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Virtual Onboarding

Chatbot Channel

Activity Feeder

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Client account opening with minimal paper document requirements

Facilitation of non face-to-face onboarding, using video technology

Ready for potential eID implementation in Hong Kong

Client communication channel embedded into solution

In parallel leveraging established messaging channels, eg, WeChat

Chatbot for automated communication with client on simple topics: eg, cash balance, trading performance, technical questions, etc.

Allowing brokerage firm staff to focus on high-value communication

Engine generating relevant information for clients aimed at increasing client engagement and support trading activity

Using built-in communication channels, incl. Chatbot

Example: most traded stocks in last hour, best performing stocks

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BrokerFabrik ticks the box on core needs

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Cost effective setup

One integrated platform that can replace complex legacy system landscapes.

Software-as-a-Service that grows with you, paid by monthly subscription.

Efficient compliance

Regulatory compliance screens and audit trail to easily keep oversight.

Account opening module that simplifies processes today and is future-ready.

Differentiating user experience

Feature-rich yet simple to use client interface built to drive active trading.

Chatbot feature and direct channels to efficiently inform and engage clients.

Future-proof systems

Continuous flow of new features that can be subscribed with a click.

Modular underlying architecture for flexible adaptation to new requirements.

Highlights how BrokerFabrik makes a concrete difference

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Integrated principal setup and workflows

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Executing BrokerMarket Data

Corporate Actions Custodian

AccountingGeneral Ledger

Reports

Statements

Trade Reports Settlement Reports P&L Reports Account Reports Reconciliation Reports

Are statements being generated Are transaction codes working Are narrative correct

Accounts Transactions Cash Withdrawals Cash Balances GL Postings

Accounts Account Status Cash Balances

Reference Data Fundamental Data Streaming Data Historical Data News Calendars

Fix Session Management Order Placement and Confirmations Order Executions Open Order Reconciliation Fix Compliance Tags (OMS & Surveillance) Settlement Date Stamp Trade Confirmations

Transaction Reconciliation Settlement Obligation Position Reconciliation Corporate Action Handling Transfers

GL Postings P&L Reporting Global Set of Accounts

Security Master Custody Omnibus a/c Holdings Clients Accounts Events

Reporting Portal

Client Onboarding

P2

P &

Files

FIX P

roto

col

Trade Reconciliation (Status)

SOD

Bat

ch F

ile

EO

D B

atch

File

Files SWIFT Messages

Create Client a/c

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Fully modular architecture allows flexible configurations

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Implementation phases and delivery principles

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Client Facing

Complete Solution

Customised Setup

Development Go LiveDeployment & TestingIntegration

Out of the box or customised to client needs

Minimised disruption of ongoing client business

Agile delivery within minimal timeframes

Supported transition of firm and clients to new setup

Integration with client legacy systems Integration with

third parties used by client

End-2-End integration testingFunctional UI

testingBug fixing and sign-

off

Production EnvironmentStaff and client

onboardingSupport

Technical analysisDevelopment of

client-specific solution elements

Delivery principles

2-3 months 1-2 months2-4 months

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How can help you now

The overall market is attractive and growing.

Costs of doing business and competition are intensifying.

Current systems used don’t drive client activity, breed risks and are complex to run.

Success requires an integrated, cost effective, continuously evolving system that engages clients.

Get in touch to find out more.

www.brokerfabrik.com

[email protected]

Demo available.

BrokerFabrik offers modern technology to bring your brokerage business to the next level.

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Appendix

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A team powered by experience and synergy

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Alex Medana,

CEO | The Hustler

18 years experience in Investment Banking Operations, Lean Re-engineering and Entrepreneurship

Leadership, People, Sales

Marcel van der Vliet

CTO | The Builder

15 years experience in Trading Technology, Developer Leadership and Entrepreneurship

Technology, Program Management, Partnerships

Dr. Florian M Spiegl

COO | The Whip

9 years of experience in Strategy Consulting, Wealth Management and Entrepreneurship

Strategy, Product, Execution

Unfair advantage: Access to pool of top talent, ready to go+

TradeSense

…

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Core System: engaging Client Features

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Research & Trading on mobile or desktop

Trade anywhere, anytime

Trading Dashboard

Dashboard that can be customised by clients with widgets to provide an overview of their activities.

Stock Screening Comprehensive research, analytics and charting tools as a basis for informed investment decisions.

Trade Capture Streamlined order creation function tailored to support perfectly timed and educated trades.

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Core System: engaging Client Features

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Portfolio Analytics & Account Management

Stay informed and in control

Portfolio Analytics

Showing buying power, wealth development, relative performance, down to single positions.

Corporate Actions

Events overview for users to stay on top of dividend payments, stock splits and other events.

Account Management

Account management platform to change details and permissions, receive trade confirmations and trigger cash and stock transfers.

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Core System: effective Business Features

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Client Management & Interaction

Stay in touch with users Account Opening

Digital opening and maintenance, making client onboarding less a hassle for firm and clients.

User Management

Account and user management with per-user permissions all in one place, including multi-level roles.

Fees Setting Flexible fees and commissions setting options to optimally support the business.

Client Communication

Multiple integrated communication tools leveraging different channels such as email, sms or posts. Chatbot to come soon.

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Middle Office Operations

Run effective operations Order Management

OMS pad covering order routing, history, transactions and settlement for optimal post-trade processing.

Activity Monitor

Central overview and management of client buying power, trades, positions and stock records.

Accounting Engine

Integrated accounting engine to keep records aligned and ready for external reporting.

Operations Schedule

Cockpit to provide an overview of scheduled and executed events to know what happens when.

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Compliance and Supervisory tools

Control regulator risks efficiently

Compliance Screen

Regulatory compliance screen that helps with tracking relevant events.

Reporting Tools Complete audit trail and custom reporting tools including system logs to keep data at fingertips.

Operational Center

Operational command center that keeps firm informed and in full control on system functionality.

Permissions Management

Users permissions to ensure limits and controls, built into the user workflow and enforced across all functions.