ANALEC ClientManagerTM - Case Study

ANALEC Research Enabling Solutions

Customer:

A Pan-Asian investment bank, headquartered out of Taiwan. The largest broker-dealer

in Taiwan with a growing presence in the Asian region.

Background: The brokerage is part of one of the largest financial conglomerates in Taiwan, with a

leadership position in the Taiwan market place. The brokerage has historically relied on

a strong retail brokerage business in Taiwan, where it enjoys the No. 1 position by a

wide margin. Over the last 5 years, they have focused on building an institutional

brokerage business, bringing in best-in-class expertise from a number of larger

competitors.

The business has built a formidable research platform with over 40 analysts in Taiwan

and a growing recognition in the market place for their brokerage service. In addition,

the brokerage has an active derivatives business in Taiwan. With the move to service

institutional clients, the business realized the need for better business intelligence and

client servicing technology solutions, that would not only help them raise the

effectiveness of client servicing but also help to achieve greater accountability and

transparency in the client servicing process.

The brokerage plans involved expanding its institutional business to Mainland China

and Hong Kong and in that respect it was looking for a client management system that

would enable not only managing the client service delivery process, but also provide

insightful output to the business managers on services delivered to each client, as well

as the revenues generated from each client account; on a proactive basis.

Challenges:

The brokerage was a late entrant in the institutional brokerage business and therefore had a lot of catch-up to do in a fiercely competitive market place.

Case Study Pan Asian Stock Broker

Deploying the ANALEC ClientManagerTM Software Suite

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The challenge was further compounded by the fact that many of the

institutional clients were increasingly gravitating to the top 5-6 brokers in their

hunt for best execution and threshold service requirements from each of their

brokers.

The business realized that it had built a formidable research platform, but needed to leverage its research platform far more effectively in order to raise

their overall service levels to their target client base. The business managers were

keen to position their offering to their client as one that was built on local

knowledge but relied on international standards for assessing investment

opportunities.

The business wanted to integrate its research, sales, sales-trading and trading operations in a way that would ultimately boost the overall level of service to

their client base and help to cross-sell investment ideas across the business.

The business wanted transparency with respect to managing client commission targets and actual performance on each account, so that individuals and

teams could be held accountable and enable proactive decisions to eliminate

service bottlenecks and improve service quality.

The business wanted to ensure that over time they are making correct resource allocation decisions with respect to clients and their ability to pay for the services

consumed. In others, an ability to measure cost-of-service (to each client) and

compare with revenues generated from each client.

The business wanted to raise the quality and value-add of all client interactions in order to ensure service effectiveness and consequently raising the revenue

generation potential of the business.

Solution:

ANALEC ClientManagerTM suite, a robust customer management and business

intelligence platform geared to the stock broking and investment banking industries

was able to meet a range of objectives of business; while ensuring it added nothing in

the form of administrative tedium. ANALECs software implementation consulting team

worked closely with the client-side organization over a period of 6 months to deliver a

seamless platform for client servicing and business management. It involved:

Drawing up the customization and implementation road-map in close consultation with the customer. It involved a combination of adapting the

business processes within the software suite to mirror the internal processes and

decision-making within the brokerage; while at the same time initiating new

process disciplines within the brokerage to raise their service level effectiveness

via ClientManagerTM.

ANALEC customized integration software for seamlessly connecting the brokers British Telecom dealer-boards (supplied by a BT subsidiary called Syntegra) with

the ClientManagerTM in order to deliver complete compatibility between either

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using the dealer-board hardware or the ANALEC ClientManagerTM software to

make or receive calls.

ANALEC ClientManagerTM seamlessly integrated with the clients mail system MS Outlook for both sending and receiving emails, as well as booking

appointments in the calendar. Apart from MS Outlook, ClientManagerTM

integrates seamlessly with IBM Lotus Notes and Bloomberg Email and Chat

services.

ANALECs software professionals devised a seamless automatic feed from the back-office trade settlement system for bringing in information on individual

client accounts and their trading with the firm; along with the brokerage

commission paid on each trade. This information is used extensively in the

Management Information interface of the ClientManagerTM suite in order to

track commission flows and stock trading history for each client account.

The above information on stock trading history Buys and Sells made available within the client service organization in an easily accessible manner helps to

devise client service strategies for individual clients so as to raise the relevance

of the service delivered to the client.

ANAEC consultants worked closely with the client organization to help organization clients into client servicing groups via the sophisticated grouping

capabilities within the ClientManagerTM suite. The grouping capabilities within

ClientManagerTM provide enormous transparency and flexibility to the brokerage

to customized service groups for either individual client accounts or individual

service agents.

The brokerage in the rest of the client service organization was to upgrade its telephony infrastructure to Avayas solution. ANALEC using the CTI capabilities of

Avayas telephony systems will provide seamless integration with

ClientManagerTM, similar to the dealer-board integration solution.

ClientManagerTM delivers an intelligent research content distribution platform ensuring at all times the client receives what he/she requested on research

services. In addition, it helps to create, manage and organize client marketing

events (e.g., analyst roadshows, corporate roadshows, company visits, and

investor conferences).

Benefits:

Since January 2008, the client organization has been an active user of the ANALEC

ClientManagerTM platform within its client servicing business. ClientManagerTM has

been widely acknowledged within the client organization to deliver organizational

transparency, accountability, while promoting proactive behavior on the part of all

service agents, when it came to servicing their individual clients. Some of the areas of

benefits experienced by the client organization are as follows:

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Significant improvement in organizing client servicing activities and making individuals accountable within the client service organization.

Vastly improved capability to capture rich information on a client organization (as well as individual clients within them) when it comes to their service needs

and services being delivered to them.

The integration with telephony systems as well as settlement systems has improved the productivity of service agents and their ability to cross-sell services

to their clients.

The solution has raised the ability of the business to focus on value-added tasks by reducing time spent on tedious and administrative tasks.

The ability to tailor-make investment ideas for clients based on their investment preferences and market interests has been vastly improved, thereby raising the

relevance of the service delivered to each individual client.

Business managers have found enormous benefit from the use of ClientManagerTM in terms of boosting their ability to make proactive decisions

and steering the business to meet (and where possible) exceed revenue targets.

The institutional business, in terms of revenue generation, is now considered one of the top 5 institutional brokers in the Taiwan market place.

End.

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