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OUR PRODUCT

Components

NIAD arms your firm with a suite of tools that will support your end-to-end processes for new issues.

Issue Management

  • Issuer Profiles: Capture and track Issuer information
  • Issue Terms: Capture and track terms and details of an issue
  • Date Management: Capture and track pertinent dates related to the issue from issue inception to post closing
  • Deal Status: Restrict user and order access and display user notification on deal status
  • Contact Information: Capture and track contact information on an issue
  • Commentaries: Display information that is suitable to an applicable set of users (i.e. Retail, Compliance, Finance)
  • Fees and Expenses:  Capture and track fees and expenses for both the purpose of ticketing and profit and loss estimatization
  • Jurisdiction and Eligibility Management: Restrict orders based on both jurisdiction and eligibility of accounts
  • Document Management:  Store and access issue documentation for the purpose of marketing and issue management (i.e. term sheets, greensheets, prospectuses)

Order Book Mgmt

  • Syndicate Book
    • Manage book size and allocation by sales channel (i.e. retail, institutional and dealer)
    • Capture interest and allocations for each Syndicate Member and Selling Group Member
  • Institutional Book
    • Enter Client interest at various price thresholds
    • Capture and track Client details including time/date stamp, notes and employee affirming allocation
    • Rapid order entry for bought deals with auto-fill feature
    • Model order book based on price sensitivities
    • Ticket Client orders to various sub-accounts
  • Retail Book
    • Retail Syndication Book
      • Manage Branch allocation with "drill down" capabilities into Branch and IA order books
      • Automated pullback of allocations in excess of demand
      • Perform automated allocations based on pro-rata interest or performance algorithm
      • Automated email delivery of allocations
    • Branch Order Book
      • Enter bulk interest on behalf of the Branch
      • Track IA's interest, confirmed and contracted orders
      • Perform manual and automated allocation to IA's
      • Allocate to IA's based on pro interest or performance algorithm
    • Investment Advisor Order Book
      • Enter bulk interest, track Client interest and perform allocation to Client accounts with auto-fill feature
      • View Client profile and Client new issue activity
      • View attachments on both current issues and historical issues
      • Sales Assistant access
      • View, manage and enter orders on behalf of joint RR Codes
      • View critical dates calendar
      • Automated email notification where IA interaction is required

Ticketing

    • Perform straight-through-processing of contracted orders
    • Capture settlement details
    • Ticket and contract both buy and sell orders for Retail, Institutional, Dealer, Inventory and Issuer
    • Trades are automatically transmitted to the appropriate back-office system
    • Supports ISM, Broadridge (Dataphile, ADP)

Reporting

    • The NIAD system will generate and auto-populate Industry Standard reports for Compliance, Finance and Performance.
    • Ad-hoc search engine for customized reporting
    • Sample: Distribution Certificate, Schedule A, Form 2E, IROC Pre-marketing Certificate, Purchasers List, Deal Sheet, P&L Estimate, Buyers/Exempt List, Capital Report, Reports by Client, Branch, Advisor, and Dealer

Calendars

  • Capture and track roadshow events
  • Download events to Microsoft Outlook
  • Register for events and view event registration
  • View issue dates that include announcement, pricing and closing dates

Key Users

  • Retail Syndication
  • Equity Capital Markets – Institutional
  • National Sales Manager
  • Retail Branch Manager/Assistant
  • Retail Investment Advisor
  • Sales Assistant
  • Investment Banking
  • Compliance
  • Finance
  • Operations

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