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The LaBranche Financial Services (LFSI) Institutional Execution Group’s soft dollar program offers an all-inclusive platform with complete access for all your compliance and reporting needs.
The industry changes in reporting requirements are going to require more timely, accurate and disclosed record keeping. Our experienced staff and latest real-time accounting system, Quanta, will help you address these changes without additional administrative work or staff.
LFSI is a member of The Alliance in Support of Independent Research, a trade organization of brokers and research providers who furnish various types of research related services to the Institutional Investment community. The Alliance is actively involved with both regulators and legislators in order to foster a balanced regulatory environment in which research and related services can be provided to our customers to assist them with the investment decision making process.
We realize that there are three critical elements to our customer’s soft dollar program:
- Quality Trade Executions
- LFSI is consistently ranked in the top 90th percentile in listed and OTC markets by Elkins-McSherry (detailed quarterly report available upon request)
- Trading desk staffed by professionals with average 18 year industry experience, clients are not relegated "call center" structure
- Sector analysts, listed block and OTC traders work in conjunction with the sales trader to provide quality executions
- Timely, accurate reporting and customer service
- Industry experts to assist and guide you through the current, evolving regulatory environment
- Web-based technology disclosing every facet of this relationship on a real-time basis
- Product review and consultation to avoid service duplication or overpayment
- Clients can exclude designated accounts from soft dollar credit without compromising the benefits of block execution
- Competitive rate structure
- Rates quoted and reported in either gross or net basis
- Research credit can be adjusted down to the transactional level
- Non-qualifying customer accounts can be executed in block fashion and excluded at the point of allocation
The Institutional Execution Group at LaBranche Financial Services offers customers a seamless transition from current programs or consolidation of multiple arrangements and minimizes the conversion impact.
Don't sacrifice execution quality for your soft dollar research services. Our approach provides a compelling reason to consider LFSI Institutional Execution Group as your provider of independent research and related services.
For more information please contact Rick Fremont at (212) 482-3686 or Jennifer Leskin at (212) 482-3688.
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