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Securities ProStation®

SPS is a total securities front-end, import and back-end processing system designed for fully disclosed broker-dealers, brokerage firms, bank subsidiaries and insurance or mutual fund broker-dealers. This system enables your company to fully automate all aspects of your daily operations in the commission and fee areas by utilizing file downloads from clearing firms, DST Fan-Mail, mutual fund and annuity companies, insurance companies and third party data providers.  

This system contains all required regulatory blotters and conducts several licensing and compliance checks during the processing phase to ensure your compliance with securities rules and regulations. Securities ProStation® is also able to interface with most existing accounting packages or can be customized to interface with unique accounting software and outside payroll processing vendors.

The combined functionality of Securities ProStation® allows you to have a truly integrated software system to automate your business.

Key Features:
  • Detailed consolidated Commission Statement for each Advisor 
  • Multiple Payout Structure Capability
  • Ad Hoc Report Creation
  • Licensing & Compliance Validation Checks
  • Multiple Clearing Firm, Mutual Fund, Annuity & Insurance Interfaces
  • Managed Account / Fee tracking and Reporting
  • Security Level Assignment by User
  • 1099 Statements and Reporting
  • Data on reports can be exported directly to exce, PDF, comma delimited or XML applications
  • Audit trail and time stamp record maintained to all changes
  • Allows for complex commission/fee based payout structures, splits, multiple overrides, bonuses and flexibility in your product mix
  • Over 100 different types of production, compliance, client, trade and management reports
  • Continuing education and sales practice reviews
 
 
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