Other Financial institutions

C&A defines Other Financial Institutions as; Investment Banking, Brokerage, Commercial Banking, Trust Companies, Service Providers (Prime Brokers, Fund Administrators) and Regulatory Agencies.

C&A has a long history in this space. Most of C&A’s principals and staff have been exposed to these industries while holding senior positions. As an example, our principals have held position of CFO for a global Investment Banking Firm, COO of a Trust Company and an Investment Banking Firm and CEO of a major service provider. C&A augments their other Financial Institutional knowledge with our unique horizontal structure of compliance, technology, finance, operations and risk and control. We have experience implementing front to back office applications, trust and custodial services and fund administration services. This complement of disciplines allows us to assist our clients with the challenges they now face in the industry.

  • Custodial Reporting – C&A designed reporting requirements from the client and their investor’s perspective. Implemented a new platform which provided on demand information to investor and to senior management.The design also encompassed a new portal for investors to obtain aggregated information across various custodians.
  • Platforms – C&A has identified and implemented OMS, portfolio accounting, investor portals and reporting platforms.
  • Trust Companies, Custodians – assisted clients in identifying or converting onto fund administrators.
  • Regulators – one assignment included the review of a firm’s 15c3-1 net capital daily estimate and monthly calculation. C&A redesigned the daily and monthly process which resulted in a more favorable capital result for the client, better documentation of the calculation and less time to create.
  • Technology – assisted an Investment Bank in the outsourcing their help desk, exchange server and internal application support. This reduced the firm’s headcount, provided better service and led to a more effective solution.
  • Finance – assisted in the implementation of Oracle and Peoplesoft financials. This included an integrated P.O to invoice system, fixed assets module, T&E (expense) module and corporate consolidation module. This system was able to save the Firm time and money and the finance department was able to close the books more efficeintly.