Enduring the COVID-19 Pandemic: Broker-Dealer Success Factors

Many lingering questions do not have answers, but now is not a time for firms to be complacent about strategy or approach.

Boston, October 6, 2020 – The impact of this pandemic is undeniable, and the financial industry and broker-dealer community are not exceptions. Many have turned to cloud technologies to accommodate working remotely, and many sell-side firms have had to take appropriate actions to respond to heightened levels of volatility both in the markets and within their respective walls. While the industry has responded well, many financial services professionals are left wondering how to move forward with this change in lifestyle as well as the impact to the trading infrastructure and trade life cycle.

This Impact Report provides Aite Group’s assessment of capital markets activities within the broker-dealer community and specifically the issues facing the trading desk. It also provides observations and recommendations for the last few months of 2020 and into 2021. It is based on Aite Group’s Q2 2020 interviews of over 15 leaders in the capital markets industry in North America to gather their perspectives on the overall industry environment as the world was thrust into the COVID-19 pandemic.

This 25-page Impact Report contains 13 figures and one table. Clients of Aite Group’s Institutional Securities & Investments service can download this report, the corresponding charts, and the Executive Impact Deck.

This report mentions Amazon, Apple, Australia Stock Exchange, Bloomberg, CBOE, Cloud9, Digital Asset, Discord, Google, IPC, Liquidnet, Microsoft, OpenFin, Salesforce, Slack, Symphony, and Zoom.

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