Platform

Structured Product Platforms to Execute 50% of Transactions, Predicts Luma’s CEO Tim Bonnaci

May 20, 2019 2:58:52 PM

As discussed in a recent publication from Risk.net, 5-10% of the US structured products market transactions occur on electronic platforms. However, Tim Bonacci, CEO and founder...

Automated Post-Sales Performance Reports Make Life Easier

Mar 22, 2019 2:15:49 PM

Pulling up performance data for structured products is usually more time-intensive than other types of investments due to their complex nature. Manually managing this process can...

How to Improve Suitability Measures with Financial Technology

Mar 15, 2019 9:42:39 AM

Picture Tom, product manager for a large broker-dealer. Tom has his annual cycle exam in a couple of days. He understands how his orders have been approved and placed through his...

FINRA Suitability Fines Up by 225% in 2018

Mar 7, 2019 2:41:34 PM

As recently reported by Investment News, the law firm of Eversheds Sutherland issued a report summarizing 2018 fines imposed by FINRA.  The overall headline from their report is...

3 Reasons Why Wholesaler Value Could Increase

Feb 15, 2019 8:14:05 AM

Reverse inquiries are an excellent area for wholesalers to provide value. However, the current way most wholesalers facilitate reverse inquiries is very time-consuming and subject...

Custom Structure Creation and Pricing Automation Explained

Feb 6, 2019 8:42:43 AM

Despite the inherently complex nature of structured products, firms still surprisingly rely on emails and spreadsheets to manually manage the custom structure creation process. In...

4 Reasons Custom Structure Pricing Needs to Be Automated

Jan 17, 2019 9:52:24 AM

For all the complexity and sophistication of structured products, the creation and pricing of custom structures in the U.S. remains a very manual activity and one that is...

How Luma Improves Control and Compliance

Nov 30, 2018 4:47:28 PM

Through advanced financial technology solutions, more and more banks and broker-dealers are saving time and improving control and compliance. This trend has now extended into...

Managing Post-Sales Activities with Luma

Nov 30, 2018 4:08:23 PM

In this blog post, we are going to go over how financial technology can help optimize a book of business for financial advisors. Accessing the performance of structured products...