You are viewing all posts by, Ralston Roberts Jr

senior managing director, SunGard's brokerage business

28
Oct
2014

Dig Deeper for Data: Enriching Wealth Management With New Market Insight

Contributor:

A version of this article was originally published in Wall Street & Technology. With so many sophisticated research tools now at our disposal, wealth managers need new ways to add value for their clients. In a data-rich world, unique sources of information are proving both precious and elusive. How then can today’s data providers help?read more... read more

senior managing director, SunGard's brokerage business

3
Sep
2013

Applying Business Sense to Brokerage Models

Contributor:

This blog post originally appeared on TABB Forum. Over the years, I have worked with many brokerages to help them implement a vision for their capital markets groups. To no surprise, common themes rose to the top: providing quality research, access to companies and new offerings, capital commitment, access to liquidity, and superior customer support. As part of implementing this vision, the firms will make strategic investments in people and underlying technology to support those them. From a people perspective, this means bringing in the right bankers, analysts and traders. From a technology perspective, traditionally this meant providing them with adequate market data, authoring tools, dissemination tools, customer relationship management solutions, order management solutions, and clearing solutions.... read more

senior managing director, SunGard's brokerage business

11
Jun
2013

You Say Riskless Principal, and I Say Net Trading

Contributor:

In an effort to further reduce costs for brokers and capture more volume from brokers, some execution providers have implemented some creative execution options for their clients. About 10 years ago, the industry pushed brokers to move to an agency/riskless principal model to drive transparency in execution price and commission. The driver behind this shift was best execution. Fund managers were pushed by their investors to provide transparency around the fees they were paying to trade and who was paying for them.... read more

senior managing director, SunGard's brokerage business

4
Apr
2012

What brokerages must do to succeed in 2012

Contributor:

With 2012 underway, it’s clear that caution is at an all-time high among investors. This is reflected in shrinking trading volumes and tighter brokerage commissions—a sharp contrast to years past, according to major media reports. To stay ahead, brokerages across the globe will likely have to redouble their efforts to attract and keep more investors this year. Luckily, trading firms will have an array of regulatory reforms and directives, electronic trading and connectivity tools, emerging standards and some cutting-edge options at their disposal to help them attract more investors and bolster their fortunes.... read more

senior managing director, SunGard's brokerage business

7
Oct
2011

US equity markets the most efficient deficient market

Contributor:

There is a distinct irony in regulators pushing for speed bumps in US equities markets after we’ve spent the last decade to make the national market system faster. Increasingly, when it comes to the efficiency of US equities markets, it’s safe to say that we should be careful for what we wish for. You might even argue that we did the job too well. American equities markets have been through a succession of gyrations—decimalization, Nasdaq’s SuperMontage order entry and execution platform, and the RegNMS reforms that brought the trade-through, access and sub-penny rules. The push for uber-efficiency has continued with new rules governing the activities of “large traders,” FINRA’s expansion of the order recording and reporting obligations for OATS to include orders in all NMS stocks, and an effort to limit the use of IOIs in dark pools.... read more