1. business and industrial

E TRADE
BROKING SERVICES.
FOR ALL YOUR STOCKBROKING AND OUTSOURCING NEEDS.
WHAT’S INSIDE.
Why use E TRADE Broking Services?
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Investment tools and research
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Reducing the compliance burden
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Real time trading and market information
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Easier client administration
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Tailored solutions that develop and protect your brand
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Is E TRADE Broking Services right for me?
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Contact us
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Important Information. The E TRADE Australia service is provided by E TRADE Australia Securities Ltd (trading as “E TRADE Australia”)
(ACN 078 174 973, AFSL No. 238277), a Participant of the ASX Limited Group. ©2003 E TRADE Financial Corporation and E TRADE Australia.
All rights reserved. E TRADE and the Asterisk Logo are registered trademarks of E TRADE Financial Corporation or its subsidiaries and are
used with permission.
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WHY USE E TRADE
BROKING SERVICES?
Grow your business. Transform your service.
E TRADE Broking Services allows you to strategically position your business so you can offer a superior
combination of investment choices, research and trading products.
We develop and share tools and services that would be costly for you to build and manage
independently, allowing you to devote your time and resources to servicing your clients.
SIGnIfICAnT CoST SAvInGS.
E TRADE Broking Services reduces the overall cost of doing business by removing high fixed overhead
costs. This allows you to move to a simpler variable cost structure, paying only for actual usage.
Outsourcing your back-office puts you in front.
In the USA, less than 10% of broking firms have their own back-office. The generally accepted model is to
outsource clearing functions to specialist providers who can obtain scale and efficiency benefits.
We’ve seen in the Australian market a similar trend emerging with specialist brokers, such as E TRADE
Broking Services, offering execution, clearing and settlement services for AFSL holders. By outsourcing
what are essentially administrative functions to E TRADE Broking Services, you can concentrate on your
value-added front-office functions – advice, wealth management and client servicing.
Leverage our technology.
E TRADE Broking Services gives you access to the latest technology and reporting packages.
E TRADE assumes responsibility and cost for upgrades, support and ongoing maintenance of the
technology platform.
Superior trading tools.
E TRADE Broking Services lets you place single or multiple orders for individuals or groups of clients,
and then release them to market with a single click. You can also vary the brokerage rates charged to
each client.
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Quality service.
At E TRADE we pride ourselves on the level of service we offer our clients.
Our dedicated team of Account Service and Relationship Managers can
be contacted by email or phone to help with any questions you may have.
We were the first online broker to introduce straight-through processing in
Australia and we’re constantly re-evaluating our products to offer you and
your clients world-class solutions.
TRAINING.
When you choose E TRADE Broking Services we are here to assist you
every step of the way. When coming onboard our dedicated Technical
Services Officer is on hand to provide training for your Group on;
using E TRADE Pro
opening client accounts
This training can be tailored to your individual needs and can be delivered
in a range of formats including webinar, face-to-face meetings and teleconferences.
Dynamic market information.
Our dynamic trading platform lets you customise your own trading desktop, monitor the market with live
streaming market data and take advantage of fast order placement on one platform.
ASX capital adequacy solutions – free up your capital.
For ASX participants, E TRADE has a number of models which may enable you to free up capital
in relation to your ASX obligations. This may enable you to transfer your clearing obligations and
significantly reduce your ASX capital adequacy requirements. This allows you to direct resources and
capital back into your business and focus exclusively on revenue-generating activities.
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INVESTMENT TOOLS
AND RESEARCH.
E TRADE Broking Services provides a premium level of service that delivers the research you and your
clients need in a cost-effective and efficient manner.
This service includes:
In-depth company profiles including key financial ratios and dividend performance for all ASX listed
companies – representing more than 1500 stocks
Weekly stock tips from a range of industry experts
Real-time company announcements
Printable one-page summaries giving you a concise overview of a company’s outlook
Access to the latest Australian market news, overseas headlines and commentary from industry experts
A range of independent research providers.
E TRADE Broking Services offers one of the most comprehensive online investment research facilities,
complete with company profiles, earnings projections, research reports and stock recommendations. It’s
independent, so you can be sure your investment decisions are based on objective information. We also
produce all our reports in PDF format so that you can easily distribute them to your clients.
Stock analysis.
Through E TRADE Broking Services you have access to one of Australia’s most comprehensive
stock analysis databases, including Independent Analyst recommendations, historical trends and
company profiles.
Market news and commentary.
Australian and international market updates, headlines, ASX company announcements and expert
commentary from various market analysts are included with E TRADE Broking Services.
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REDUCING THE
COMPLIANCE BURDEN.
In an increasingly regulated trading environment, E TRADE Broking Services simplify doing business
and help reduce compliance costs. Your advisers can access a ‘simple to use’ yet sophisticated client
management solution which includes combined order management, customer relationship management
and live market data via E TRADE Pro.
Streamlined compliance process starts with an electronic
order pad.
Using an E TRADE electronic order pad virtually eliminates the need for clumsy hand-written orders.
Order information is automatically reflected in an optional, integrated compliance system which:
Records all advice events centrally and securely
Provides easy compliance management supervision
Tracks all compliance documentation
Datafeeds for your Statement of Advice (SOA)
Enables flexible client profiling
Automatically updates from the E TRADE order pad
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REAL TIME TRADING
AND MARKET INFORMATION.
E TRADE Broking Services brings the market to you with E TRADE Pro. E TRADE Pro provides you
with real time statistics and live streaming quotes straight to your desktop. Interactive and intra-day
charting are also just a click away.
FEATURES.
Streaming dynamic data
Live order status and real-time positions
Equities and options trading from the one platform
Customisable news and trades alerts
Real-time ASX announcements and course of trades
News and quote tickers
Advanced historical and intra-day charts
Dynamic market depth for both equities and options
Options finder
Customise and save workspace layout
News services
Customisable interface.
You can tailor your E TRADE desktop and trading tools to the way you prefer to work.
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EASIER
CLIENT ADMINISTRATION.
E TRADE Broking Services makes it easier to manage your clients and their portfolios with a range of
tools and client services.
Client management services.
Account opening – a simple and efficient process for you and your clients
Up-to-date account activity reports
Trading History – detailed individual account history available online
Positions Manager – real-time valuation of client shareholdings and available trading balances
FEATURES.
Open new accounts and view existing accounts online via a single platform
Real-time valuation of clients’ share holdings
Interfaces with leading industry providers including XPLAN and Praemium
Brokerage collection and payments
Asset based fee collection and administration services
Daily adviser and group reports
Flexible settlement alternatives
Online issuer sponsored sales
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TAILORED SOLUTIONS
THAT DEVELOP AND
PROTECT YOUR BRAND.
E TRADE delivers a range of our products and services using your company’s logo and details.
White label own branded service.
While E TRADE provides your back office support and online management tools, you can maintain the
client relationship. We can brand your Application Forms, Contract Notes, End of Year Statements and
Portfolio Reports.
Please note that as E TRADE provides these services, E TRADE must, by law, appear in the trading
terms and conditions and Financial Services Guide. This is a standard requirement and we provide the
necessary templates.
Client ownership.
The client remains the property of you and your advisers. This understanding is clearly set out in the
agreement which defines the relationship between E TRADE and its Broking Services customers.
Client records.
The E TRADE database has been designed to uniquely identify the records of its Broking Services
customers and their clients. E TRADE does not directly market to your clients; the only communications
sent are those required by law (which will include a brief notation of E TRADE’s role in providing the
services agreed with each user of its Broking Services.)
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IS E TRADE BROKING SERVICES
RIGHT FOR ME?
E TRADE successfully partners with many different types and sizes of organisation.
Our flexible approach tailors solutions based on our core strengths in execution,
clearing and settlement services. Our service is appropriate for:
ASX Brokers
NZSE Brokers
Financial Planners
Large and Small AFSL holders
Institutional Dealers
Wrap/Master Trusts
Super and Hedge Fund Managers
SMSF providers
Contact us.
For further details on E TRADE Broking Services,
contact us on 1300 363 241 or advisor@etrade.com.au
Disclaimer. E TRADE Australia’s services are provided by ETRADE Australia Securities Limited (trading as “E TRADE Australia”) (ACN 078 174 973,
AFSL No. 238277), PO Box 1346, Royal Exchange, NSW 1224, a Participant of the ASX Group. © 2003 E TRADE Financial Corporation and E TRADE
Australia. All rights reserved. E TRADE and the Asterisk Logo are registered trademarks of E TRADE Financial Corporation or its subsidiaries and are
used with permission.
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