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Home Office

Manage Trades. Find Answers. Support Advisors.

Deliver operational efficiencies to your firm’s bottom line. Optimize the productivity of your field organization. Perform special research and asset tracking. These are expectations you are asked to deliver on daily. Vision’s HomeOffice experience is designed exclusively for the broker-dealer and trust company home office to help you do just that.

 


Whether managing NSCC trades, performing oversight of the field, or researching common questions, Vision HomeOffice integrates real-time, operational information from more than 370 mutual fund, variable annuity and real estate investment trust (REIT) companies with self-servicing tools designed to help manage home-office operations more efficiently.

NSCC Reject Processing

Displays all soft and hard rejects (intraday), accompanied by the NSCC Fund/SERV reject details and enables your firm to resolve them within Vision HomeOffice™ if the product company participates in this feature.

Previous Business Day's Activity

Key metrics for your previous day’s NSCC and non-NSCC business are summarized, including purchases, redemptions, new accounts, exchanges, transfers and ACATs.

Price Protection Requests

With product company approval, you can enter price protection requests directly in Vision HomeOffice while processing a reject.

Ad Hoc Price Protection Requests

With product company approval, request price protection for trades on an ad hoc basis.

Outstanding Orders

View outstanding orders to facilitate reconciliation of accounts and transactions.

Rights Of Accumulation (ROA)

Maintain awareness of NSCC orders given a better price by the product companies, with change reason and full ROA details.

Representative Asset Summary

Facilitate commission and trade reconciliation by accessing account and asset details for specific representatives and/or split representative.

Management Company Branch Listing

Retrieve complete branch listings with individual branch assets, their addresses and affiliated reps.

Communication Center

Access real-time information from DST about issues impacting the home office, as well as access to a Fund Phonebook with product company contact information.



Delivering operational efficiencies to your firm’s bottom line means you need access to the right information in real-time, and powerful online tools so you can take action. Whether managing delinquent trades, monitoring trade activity or reconciling position file breaks, access to comprehensive account details makes all the difference. The right data, combined with easy-to-use interactive tools, help you manage daily operations more efficiently.

Avoid Delinquent Trades
Order Alerts in Vision HomeOffice presents outstanding orders that are more than five days old, so you can reconcile accounts and avoid delinquent transactions.

Monitor Account Trade Activity
You can easily monitor trade activity using the transaction history feature.

Reconcile Position File Breaks
You can resolve NSCC networking position file discrepancies with easy access to complete account-level details.


Regulatory oversight often means you. Timely action is required when an advisor leaves your firm.  Vision HomeOffice helps by giving you an online tool to manage the IDs of terminated advisors.  Real-time ID termination means you can act fast, proactively securing client account data and adding value to your oversight efforts.


Efficient processing and error reduction – both are important when it comes to managing trades. With the NSCC reject processing and price protection tools in Vision HomeOffice, your firm is addressing rejects and requesting price protection directly with the product companies. Reducing phone calls, minimizing manual processing, lowering error rates, saving time – all benefits your firm realizes from automating these trade management tasks.

NSCC Reject Processing
Access all soft and hard rejects, accompanied by the NSCC Fund/SERV reject details and resolve rejects intraday within Vision HomeOffice.

Price Protection Requests
Submit price protection requests directly in Vision HomeOffice while processing a reject.

Ad Hoc Price Protection Requests
Request price protection on an ad hoc basis for trades not associated with an existing rejected transaction, including system issues or trade corrections.


You need account data to meet all types of ad hoc reporting requests – certain matrix levels, specific account types, with or without auto agreements and likely from more than one product company.  Vision’s data extract takes the manual work out of getting the data you need.  You submit a single request for account data from multiple product companies and retrieve it in a CSV-formatted file, based on the filtering criteria you apply.

  • Simplicity: A single online destination to request and retrieve the data
  • Efficiency: Eliminates multiple phone calls and gets you the data faster
  • Security: Data files are retrieved from a secure site instead of email, U.S. Mail or fax

Vision Professional

As a broker-dealer home office, you’re focused on providing advisors the programs and tools they need to succeed. Vision Professional is a premium reporting solution that helps you do that without adding to your cost of doing business.

No dealer cost.  No seat minimums.

A Vision Professional enterprise solution means no dealer cost and no seat minimums. You simply re-bill advisors who voluntarily subscribe to the service.

Home Office Oversight

Designed with the oversight and branding needs of your firm in mind, Vision Professional lets you control the deployment, the report branding and accommodates your firm’s disclaimers.

Consolidated Search

As a broker-dealer participating in an enterprise relationship, your home office associates can take advantage of a consolidated customer search feature.  A simple search by SSN or TIN provides a consolidated investor position report across all product companies, including brokerage data.

Advisor Benefits

What do advisors get when they subscribe to Vision Professional?  For a small fee, advisors gain expanded aggregation of client account information including brokerage accounts, as well as seamless integration with Advisor WatchGuard™ for product analytics.  Additionally, the Vision Professional report suite, available real-time as well as quarter-end, incorporates an advisor-branded cover page and includes the following reports:

  • Positions
  • Product performance
  • Asset allocation
  • Holdings analysis
  • Equity Overlap® (from Advisor WatchGuard™)

When trade prices change, your operation is impacted. You need timely access to information that helps answer questions about the right trade price and the right sales charge. Vision HomeOffice gives you that. Its rights of accumulation (ROA) features provide access to NSCC orders that were given a better price by product companies, and includes their corresponding reason codes, as well as full account-level ROA details.  And when your research extends to breakpoint levels for specific funds, you can rely on Vision HomeOffice™ for that too, along with a link to FINRA’s Breakpoint Search Tool.


Home Office

HomeOffice

  • Aggregated prior business day activity
  • Asset summary and easy drill-down to rep-level details
  • NSCC Trade Management
  • Rights of Accumulation (ROA) and Price Protection Request features



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