This is a Brokerage Firm Metric Dashboard (Diamond) Report, it is one of reports that Balanced Scorecard Designer can generate for Brokerage Firm KPI. With this software you can also design your own scorecards, KPIs and metrics.

Brokerage Firm Scorecard

Report includes: 2 day(s), from 09.01.2009 to 10.01.2009

Name

Start value

End value

Dynamic

Contains

Brokerage Firm Scorecard

50,83 %

39,63 %

-11,2 %

Financial Perspective	(24,1%, -30,97%)
Customer Relationship and Satisfaction perspective	(49,8%, -15,87%)
Legal Compliance and Information Management Perspective	(32,5%, 2,45%)
Internal Operations Perspective	(54,8%, 11,82%)

Graph for Brokerage Firm Scorecard

Data for Brokerage Firm Scorecard

Dates	Value
09.01.2009	50,83
10.01.2009	39,63

Financial Perspective

Name

Start value

End value

Dynamic

Parent

Contains

Financial Perspective

55,06 %

24,09 %

-30,97%

Brokerage Firm Scorecard

Indicators

Commission charged per transaction

Commission per share traded

Account maintenance charges per account

Revenues *

* - Information for this metric is limited in sample report Description This perspective helps in getting an insight of the financial aspect of the brokerage firm.

Graph for Financial Perspective

Data for Financial Perspective

Dates	Value	Weight
09.01.2009	55,06	3
10.01.2009	24,09	3

Commission charged per transaction

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	Commission charged per transaction	25,6	15,84	-9,76	$	Maximize	Financial Perspective

Description It refers to commission charged by the brokerage firm from its customers for share transaction.

Graph for Commission charged per transaction

Data for Commission charged per transaction

Dates	Weight	Min	Max	Value
09.01.2009	3	10	50	25,6
10.01.2009	3	10	50	15,84

Commission per share traded

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	Commission per share traded	0,02108	0,02952	+ 0,00844	$	Maximize	Financial Perspective

Description It indicates commission charged by the brokerage firm per share. Greater of the two i.e. commission rate per transaction or commission rate per share traded, is charged as commission.

Graph for Commission per share traded

Data for Commission per share traded

Dates	Weight	Min	Max	Value
09.01.2009	3	0,01	0,05	0,02108
10.01.2009	3	0,01	0,05	0,02952

Account maintenance charges per account

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	Account maintenance charges per account	53,28	30,44	-22,84	$	Maximize	Financial Perspective

Description It refers to the account maintenance fees charged by the brokerage firm on an annual basis.

Graph for Account maintenance charges per account

Data for Account maintenance charges per account

Dates	Weight	Min	Max	Value
09.01.2009	1	20	60	53,28
10.01.2009	1	20	60	30,44

Customer Relationship and Satisfaction perspective

Name

Start value

End value

Dynamic

Parent

Contains

Customer Relationship and Satisfaction perspective

65,72 %

49,85 %

-15,87%

Brokerage Firm Scorecard

Indicators

% increase in client base

% increase in volume of share traded

Client satisfaction Index

Accuracy level of investment advices *

* - Information for this metric is limited in sample report Description This perspective takes into consideration customer focused KPIs related to a brokerage firm.

Graph for Customer Relationship and Satisfaction perspective

Data for Customer Relationship and Satisfaction perspective

Dates	Value	Weight
09.01.2009	65,72	3
10.01.2009	49,85	3

% increase in client base

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	% increase in client base	63,62	47,31	-16,31	%	Maximize	Customer Relationship and Satisfaction perspective

Description This gives the rise in the 'number of customers served'. The increase in this KPI signifies that it is gaining popularity among the masses. (over the last 6 months)

Graph for % increase in client base

Data for % increase in client base

Dates	Weight	Min	Max	Value
09.01.2009	3	10	80	63,62
10.01.2009	3	10	80	47,31

% increase in volume of share traded

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	% increase in volume of share traded	58,16	46,88	-11,28	%	Maximize	Customer Relationship and Satisfaction perspective

Description It refers to the % increase in the volume of shares traded through the brokerage firm over the last 3 months. It indicates the level of trust customers have in the brokerage firm.

Graph for % increase in volume of share traded

Data for % increase in volume of share traded

Dates	Weight	Min	Max	Value
09.01.2009	3	20	60	58,16
10.01.2009	3	20	60	46,88

Client satisfaction Index

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	Client satisfaction Index	4,573	4,141	-0,432	Score	Maximize	Customer Relationship and Satisfaction perspective

Description This indicator is the ultimate reflector of 'the extent to which the clients are satisfied'. This will depend upon the reduction in number of complaints regarding the firm brokerage operations and activities (on a scale of 1 to 10).

Graph for Client satisfaction Index

Data for Client satisfaction Index

Dates	Weight	Min	Max	Value
09.01.2009	2	1	10	4,573
10.01.2009	2	1	10	4,141

Legal Compliance and Information Management Perspective

Name

Start value

End value

Dynamic

Parent

Contains

Legal Compliance and Information Management Perspective

30,02 %

32,47 %

+ 2,45%

Brokerage Firm Scorecard

Indicators

SEC Compliance Index

Number of fines paid

Number of security measures adopted

Lost message recovery time *

* - Information for this metric is limited in sample report Description This group of KPis is to keep the operations from unauthorized access and make sure that the information is within safe hands.

Graph for Legal Compliance and Information Management Perspective

Data for Legal Compliance and Information Management Perspective

Dates	Value	Weight
09.01.2009	30,02	2
10.01.2009	32,47	2

SEC Compliance Index

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	SEC Compliance Index	97,83	96,345	-1,485	%	Maximize	Legal Compliance and Information Management Perspective

Description This KPI can be had by comparing the 'norms that have been issued by SEC (Securities Exchange Commission)' and the 'ones that are being followed at the organization'.

Graph for SEC Compliance Index

Data for SEC Compliance Index

Dates	Weight	Min	Max	Value
09.01.2009	3	95	100	97,83
10.01.2009	3	95	100	96,345

Number of fines paid

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	Number of fines paid	3,26	2,045	-1,215	#	Minimize	Legal Compliance and Information Management Perspective

Description It reflects the number of instances when the brokerage firm is fined for not abiding with rules and regulations related to the stock exchange. This KPI reflects the reputation and transparency of the organizational operations (during last 1 year).

Graph for Number of fines paid

Data for Number of fines paid

Dates	Weight	Min	Max	Value
09.01.2009	2	0	5	3,26
10.01.2009	2	0	5	2,045

Number of security measures adopted

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	Number of security measures adopted	5,184	5,472	+ 0,288	#	Maximize	Legal Compliance and Information Management Perspective

Description It refers to number of security measures implemented by the brokerage firm to safeguard customer information from unauthorized access. This may include secured databases, inhouse secured email solutions, data recovery mechanisms, etc.

Graph for Number of security measures adopted

Data for Number of security measures adopted

Dates	Weight	Min	Max	Value
09.01.2009	3	3	15	5,184
10.01.2009	3	3	15	5,472

Internal Operations Perspective

Name

Start value

End value

Dynamic

Parent

Contains

Internal Operations Perspective

42,95 %

54,77 %

+ 11,82%

Brokerage Firm Scorecard

Indicators

% improvement in Order Execution Speed

Price deterioration Index

Order Internalization Extent

Number of investment research projects *

* - Information for this metric is limited in sample report Description This perspective helps in judging the internal operations of a brokerage firm on different set of grounds.

Graph for Internal Operations Perspective

Data for Internal Operations Perspective

Dates	Value	Weight
09.01.2009	42,95	2
10.01.2009	54,77	2

% improvement in Order Execution Speed

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	% improvement in Order Execution Speed	43,35	40,9	-2,45	%	Maximize	Internal Operations Perspective

Description This KPI is to know the improvement in the pace at which the orders are executed. It reflects the efficiency of information flow in the organization.

Graph for % improvement in Order Execution Speed

Data for % improvement in Order Execution Speed

Dates	Weight	Min	Max	Value
09.01.2009	3	10	60	43,35
10.01.2009	3	10	60	40,9

Price deterioration Index

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	Price deterioration Index	0,3919	0,2725	-0,119	#	Minimize	Internal Operations Perspective

Description This is to have an idea of how well the prices were executed as compared to public markets. The value can be had by dividing the number of worst price cases executed by the total number of cases.

Graph for Price deterioration Index

Data for Price deterioration Index

Dates	Weight	Min	Max	Value
09.01.2009	2	0,1	0,4	0,3919
10.01.2009	2	0,1	0,4	0,2725

Order Internalization Extent

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	Order Internalization Extent	18,51	29,325	+ 10,81	%	Maximize	Internal Operations Perspective

Description It refers to % of shares transactions that are being internalized. Internalization is a process in which the shares of customers are absorbed within the brokerage firm.

Graph for Order Internalization Extent

Data for Order Internalization Extent

Dates	Weight	Min	Max	Value
09.01.2009	3	5	40	18,51
10.01.2009	3	5	40	29,325

Created by: AKS-Labs
Report created with Balanced Scorecard Designer at 05.01.2009 19:55:49