superderivatives sales and distribution solution for pb and wm

Sales & Distribution Solution for Private Banking and Wealth ManagementA Conceptual and Functional Overview

PB and WM are tough business because…

Demanding yet uninformed customers

Increasing competitions

Strict regulations

The Challenges ahead…The Challenges ahead…

RMs are finding it increasing difficult to…

Satisfying different customers

Generating value add to the customers

Not to make mistake during the sales process


Managers are left helpless because…

Existing tools are old and lagging behind the market needs

Can’t help RM do more for their customers

Can’t meet confusing and ever changing regulations standards


Banks are losing revenue

Losing accounts

RM are seen as nothing more than teller with a desk

Increase overhead cost to meet regulation

Very thin margins

Business ImpactBusiness Impact

We’ve developed this solution because we believe in…

Technology will help overcome these challenges

RM will again gain respect as an value advisor to the client

Tasks should be automated to meet regulation standards

Flexibility and scalability is key to surviving the changing market

SuperDerivatives PhilosophySuperDerivatives Philosophy

This solution will help you because it can…

Support vast range of PB and WM products (DCD, ELN, ELI, etc)

Perform trade analytic break down a trade pros and cons

Compare strategies to match the customer’s investment preferences

SD Sales & Distribution SolutionSD Sales & Distribution Solution


Quick and accurate indicative and hittable prices

Easy execution and booking

Generate statement and reporting



Sales Process Management Control

Operational Risk Management Control


04/12/23 10

Solution’s Core ComponentsSolution’s Core Components

Bank’s Internal Systems

Integration Adaptor

• Sales & execution interface• Funding and compliance check• RFQ

• Product structuring interface• Rates upload and control

system• Sales interface control

Relationship Managers Traders & Products

Auto quoting system

Pre-Sales Modules

Sales Process Management Module

Operational Risk Management Module

Solution’s Extension ModulesSolution’s Extension Modules

Post Sales Modules

Deal Confirmation Generator

Statement & Reports

Traders Position Management (FX only)

MTM Report

04/12/23 12

Relationship Managers (Wealth & Retail)Relationship Managers (Wealth & Retail)

Sales & Execution Interface

Sales & Execution interface

Quickly and easily calibrate deal details

Indicative & Firm quote indicator

Solve for specific enhanced yields

04/12/23 13

Pre-approved Product Catalogue

Global and local catalog

Products approved by structuring

Real-time distribution

04/12/23 14

User will enter the deal details including Trade Date, CCY Pair, Dep. Amt, Mat. Date.

Top menu list out the various tools sales can use, including structured catalog, term sheet generator, and payout chart

Spot Date and Spot is displayed. SD will use the latest market data for price calculations.

The functional buttons to user to initiate actions from SPX. Calculate/Firm Quote, Solver, Pre-Trade Check and Execute.

For Margin, the default will be configured to “% p.a”. For conversion rate, the default is configured by the structurer.

The “Results” section will indicate whether the price calculated is indicative or firm quote.

* DCD template sample shown

Workflow Concept for a DCD Transactions

04/12/23 16

Based on user setting, at this point the user can only calculate(or solve) for indicative price

Upon Calculating the GUI indicates that this is an indicative quote

Conceptual illustration onlyThis is specific to DCD transactions

Phase 1 – Get indicative quotePhase 1 – Get indicative quote

04/12/23 17

After getting indicative quote, the RM can proceed to pre-trade check . At this point the RM cannot get firm quote or execute the trade

The RM is setting the customer details and click “submit”.SD can consider adding more fields for the check.The fields can be pre-populated with the last customer details.

Upon Receiving the PTC response, the dialog displays the result parameters and starts countdown for TTL. User then click “OK” to return to pricer (while maintaining the PTC results) or “cancel” to return to pricer without maintaining PTC results, in indicative mode


Phase 2 – Pre-trade CheckPhase 2 – Pre-trade Check

04/12/23 18

Confirmation Info. Once the PTC information has been requested, this section will display the status (Passed or Failed) and a unique ID for the session.

Customer Detail Display. After the PTC has been initiated, the information retrieved will be displayed for verification. User will not be able to change these information as it is read-only.

User input fields. This is where user can input the check parameters for the PTC. These will be cached for the duration of the PTC TTL.

Pre-trade Check WindowPre-trade Check Window

04/12/23 19

After passing the PTC, the PTC button is marked as “passed”. The button will still be enabled in case the user would like to go back to PTC (e.g.in case the customer would like to trade on a different account)


Phase 2 – Pre-trade CheckPhase 2 – Pre-trade Check

04/12/23 20

After passing the PTC, the “Firm Quote” button becomes enabled


Phase 3a – Request for Firm Quote from auto quotePhase 3a – Request for Firm Quote from auto quote

04/12/23 21

When clicking the firm quote, and based on user settings, the auto-quote rules will be validated and in case passed, a firm quote will be calculated. The result will be displayed as “Firm Quote” with indication of the TTL for the validity of the quote


Phase 3a – Request for Firm Quote from auto quotePhase 3a – Request for Firm Quote from auto quote

04/12/23 22

In this scenario, it is assumed that the RM already committed to the customer for enhanced yield (e.g. 7%) and therefore would like to solve for the conversion rate for that enhanced yield


Phase 3b – Get Firm Quote from Solver (Conversion Rate)Phase 3b – Get Firm Quote from Solver (Conversion Rate)

04/12/23 23

In this scenario, it is assumed that the RM already committed to the customer for enhanced yield (e.g. 7%) and therefore would like to solve for the margin for that enhanced yield


Phase 3c – Get Firm Quote from Solver (Margin)Phase 3c – Get Firm Quote from Solver (Margin)

04/12/23 24

At this point the following conditions are met:1.PTC passed successfully and is within its TTL2.Auto quote rules checked and passed successfully3.Firm quote /solver returned price that does not violate margin rules 4.The firm quote is within its TTL

Based on all above conditions Execute button becomes enabled.

This button will become disabled again in case one of the following happens:1.User is changing ANY of the deal details2.PTC TTL expired3.Firm Quote TTL expired

Based on user’s setting, the execute button will perform a silent deal capture and will open the external (Axisoft) confirmation window


Phase 4 – Execute and BookPhase 4 – Execute and Book

04/12/23 25

In this scenario, after performing PTC, the RM proceeds to get firm quote. However, the trade parameters do not qualify the auto quote rules (including time based rules for off hours trading). The RM is prompt with a notice in case he would like to proceed to (manual)RFQ


Exception Scenario – RFQ RequiredException Scenario – RFQ Required

04/12/23 26

In case RM clicks OK, the RFQ window is opened. The RM can then submit for trader to quote (or solve for requested yield) .Upon receiving a quote, the RM can execute and (silently) deal capture from this window.


Exception Scenario – RFQ RequiredException Scenario – RFQ Required

04/12/23 27

Sales initiate RFQ Deal and sends to the Trader

Trader sends quote back

Customer Executes Deal

Deal Summary

04/12/23 28

Step size

Predefined / custom anchor

Customizable date steps

Ccy-pair selection-or-

3rd dimensionConfigurable

anchor position(start/center/end)

• Facilitates searching for “optimal” parameters combinations.• Generate structures that will be attractive to investors and\or Hedgers.

Pricing Table Pricing Table (DCD-only)(DCD-only)

04/12/23 29

Traders / Product ManagersTraders / Product Managers

Product structuring Interface

Advance product development tools

Analze product’s performance

Upload spreads and deposit rates

Create and distribution product termsheets

Equity Autocallable Template Shown

04/12/23 30

• Strategy generation for single and multi-expiry structures

• Customizable catalogue• Back testing of performance• Branded trade idea creation

Analyze product’s performanceAnalyze product’s performance

04/12/23 31

Use the Compare Product functionUse the Compare Product function

04/12/23 32

Portfolio structuring pagePortfolio structuring page

04/12/23 33

• Multi- expiry structuring within a single page (no need for multi-leg scrolling)

• Strips of different side by side• Collapse-expand of strips• Quick and simplified solving• Template saving to enable distribution of bank’s key structures• Pricing table support for stripped structures• Custom menu building• Wider instrument coverage e.g. TARNs• Fast addition of new instruments e.g. double window barriers

Portfolio structuring pagePortfolio structuring page

04/12/23 34

Back Testing- Uses historical market data to analysed how the structure would have performed if entered in the past over a specified period

04/12/23 35

Decision Support Tool: Use the Compare Strategies function as a tool to push strategies

European trigger FWD Ex

American FWD Ex

Risk Reversal

04/12/23 36

Decision Support Tool: Use Back Testing to analyse triggers and barrier levels

- Back Test a One Touch or a European Digital

04/12/23 37

Historical Analysis/Relative Value - Multi asset decision support tool

Analyse skewed volatility for up to 10 years: Historical vs. Implied

04/12/23 38

Term Sheet Generation

Extension Module: Trader Position Management (FX-only)

• Customizable fields display

• One click columns sort

• Lifetime actions management

• Flexible deals display ‒ By Book\Portfolio

• Ad-hoc criteria-based “Search and Display”

• Criteria-based group of deals (“Dynamic Portfolio”)

• Full deal history, editing of any field, load to Pricer

Blotter

• 1st and 2nd generation Greeks ‒ Numeric and Theoretical

• ”Auto Refresh”‒ Constantly updated‒ Real time market rates

• Risk Limits - Online alerts

• Save customized reports

• Drill down capability‒ Analyze each risk by tenor

Risk Management / Spot Ladder Screen

See how your position is affected by changes in the spot rate

TV Delta

Numeric Delta

• Spot Ladder Drill Down‒ Opens in a new tab

• Double click for option details

• Load back to Pricer for investigations and analysis

Risk Management / Spot Ladder Drill Down

• 1st and 2nd generation Greeks ‒ Numeric and Theoretical

• ”Auto Refresh”‒ Constantly updated‒ Real time market rates

• Risk Limits - Online alerts

• Save customized reports

• Drill down capability‒ Analyze risk for each trade

Display of all currency pairs in a Book / PortfolioShows current position status (with current spot rate)

Risk Management / Position Summary Screen

Operational Reports

Operational Reports / End of Day Management

EOD checklist

•Shows tasks that should be completed by the trader at the end of every day

•Simply navigate to the appropriate screen.

• Customizable fields display• One click columns sort• Flexible deals display

‒ By Book\Portfolio‒ By Buy\Sell

• Decision recommendation • Bulk Execution

Auto Exercise / Expire

04/12/23 47

MTM Valuations

Extension Module: Sales Process Management (SPM)

This module is ideal for WM managers who wants to…

Eliminate sales risk of the RM

Improve sales training & management

Improve sales process efficiencies

Meet regulatory standards & compliance

SPM ModuleSPM Module

The extension allows WM business manager to…

Listen to the sales process via Audio recording

Watch the sales process via on-screen recording

Search and trace back specific part of the sales process

SPM ModuleSPM Module

04/12/23 51

SPM Module Flow

PSTN or VoIP

Internet

Bank’s own PABX

SPM Module

Integration Adapter

RM Workstation

Audio-Visual Merging

Internet

RM Desk RM Mobile

RM Tablet

Business Manager

Merged Records

RM’s SD interface

For more information or a live demonstration, contact your account manager.

To register for a trial account, go to https://www.superderivatives.com/registration.aspx

https://www.superderivatives.com/registration.aspx

https://www.superderivatives.com/registration.aspx

superderivatives sales and distribution solution for pb and wm

Documents

sd sales distribution

spot sales

pretrade checkafter

ptc results

trade pros

ptc ttl

ptc button

firm trade check andquote