Data Aggregation, Challenges and Solutions - Financial Services ...

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Solutions

• Third party solutions

• Pro‐active versus reactive

• Rules based review

– Compliance

– Data Quality

KENNETH M. CHERRIER,JD, FLMI - Financial Services Institute

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Solutions • Third party solutions • Pro‐active versus reactive • Rules based review – Compliance – Data Quality 6

Data Quality Rules Criteria: Rule ID: Internal or external: Description of rule: Interface type: Basic: Transaction type code: Description of type code: 4) Sponsor ID: Symbol ID: Persh/Schwab: Service level: (1- Detailed: Trade date __/__/__ to __/__/__ Security type: Posting date __/__/__ to __/__/__ Other type: Rep ID: Client SSN: Account #: Buy/sell code: Trade minimum: $ maximum: $ Price: _____ (GT, LT, EQ, NE) Auto close: (Y/N) Start rule: __/__/__ End rule: __/__/__

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Page 3 and 4: Challenges • Managing the process
Page 5: Outside Data Aggregation g • Life

Data Aggregation, Challenges and Solutions - Financial Services ...

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