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Brokerage Firm Scorecard

Report includes: 1 month(s) 49 day(s), from 13.12.2008 to 31.01.2009

Name

Start value

End value

Dynamic

Contains

Brokerage Firm Scorecard

52,36 %

44,23 %

-8,13 %

Financial Perspective	(28,9%, -29,02%)
Customer Relationship and Satisfaction perspective	(55,5%, 16,95%)
Legal Compliance and Information Management Perspective	(52,9%, 1,17%)
Internal Operations Perspective	(41,6%, -23,75%)

Graph for Brokerage Firm Scorecard

Data for Brokerage Firm Scorecard

Dates	Value
13.12.2008	52,36
20.12.2008	53,25
27.12.2008	49,08
03.01.2009	39,12
10.01.2009	41,99
17.01.2009	49,03
24.01.2009	56,73
31.01.2009	44,23

Financial Perspective

Name

Start value

End value

Dynamic

Parent

Contains

Financial Perspective

57,91 %

28,89 %

-29,02%

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
13.12.2008	57,91	3
20.12.2008	67,48	3
27.12.2008	58,13	3
03.01.2009	49,17	3
10.01.2009	34,44	3
17.01.2009	73,84	3
24.01.2009	64,17	3
31.01.2009	28,89	3

Commission charged per transaction

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	Commission charged per transaction	46,52	22,32	-24,2	$	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
13.12.2008	3	10	50	46,52
20.12.2008	3	10	50	44,92
27.12.2008	3	10	50	46,84
03.01.2009	3	10	50	44,64
10.01.2009	3	10	50	38,88
17.01.2009	3	10	50	45,28
24.01.2009	3	10	50	28,16
31.01.2009	3	10	50	22,32

Commission per share traded

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	Commission per share traded	0,02532	0,03172	+ 0,0064	$	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
13.12.2008	3	0,01	0,05	0,02532
20.12.2008	3	0,01	0,05	0,02336
27.12.2008	3	0,01	0,05	0,04504
03.01.2009	3	0,01	0,05	0,02492
10.01.2009	3	0,01	0,05	0,01804
17.01.2009	3	0,01	0,05	0,02844
24.01.2009	3	0,01	0,05	0,0356
31.01.2009	3	0,01	0,05	0,03172

Account maintenance charges per account

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	Account maintenance charges per account	36,72	33,32	-3,4	$	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
13.12.2008	1	20	60	36,72
20.12.2008	1	20	60	37,32
27.12.2008	1	20	60	26,08
03.01.2009	1	20	60	36,8
10.01.2009	1	20	60	45,32
17.01.2009	1	20	60	56,16
24.01.2009	1	20	60	48,32
31.01.2009	1	20	60	33,32

Customer Relationship and Satisfaction perspective

Name

Start value

End value

Dynamic

Parent

Contains

Customer Relationship and Satisfaction perspective

38,58 %

55,53 %

+ 16,95%

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
13.12.2008	38,58	3
20.12.2008	61,41	3
27.12.2008	36,04	3
03.01.2009	51,88	3
10.01.2009	27,15	3
17.01.2009	41,59	3
24.01.2009	48,09	3
31.01.2009	55,53	3

% increase in client base

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	% increase in client base	18,05	54,31	+ 36,26	%	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
13.12.2008	3	10	80	18,05
20.12.2008	3	10	80	54,38
27.12.2008	3	10	80	27,01
03.01.2009	3	10	80	64,04
10.01.2009	3	10	80	29,46
17.01.2009	3	10	80	48,71
24.01.2009	3	10	80	19,17
31.01.2009	3	10	80	54,31

% increase in volume of share traded

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	% increase in volume of share traded	35,72	28,16	-7,56	%	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
13.12.2008	3	20	60	35,72
20.12.2008	3	20	60	47,56
27.12.2008	3	20	60	27
03.01.2009	3	20	60	37,44
10.01.2009	3	20	60	26,68
17.01.2009	3	20	60	42,96
24.01.2009	3	20	60	49,2
31.01.2009	3	20	60	28,16

Client satisfaction Index

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	Client satisfaction Index	7,435	5,725	-1,71	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
13.12.2008	2	1	10	7,435
20.12.2008	2	1	10	5,653
27.12.2008	2	1	10	8,299
03.01.2009	2	1	10	2,053
10.01.2009	2	1	10	2,539
17.01.2009	2	1	10	2,188
24.01.2009	2	1	10	9,226
31.01.2009	2	1	10	5,725

Legal Compliance and Information Management Perspective

Name

Start value

End value

Dynamic

Parent

Contains

Legal Compliance and Information Management Perspective

51,77 %

52,94 %

+ 1,17%

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
13.12.2008	51,77	2
20.12.2008	28,79	2
27.12.2008	60,76	2
03.01.2009	16,98	2
10.01.2009	62,35	2
17.01.2009	31,94	2
24.01.2009	59,82	2
31.01.2009	52,94	2

SEC Compliance Index

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	SEC Compliance Index	98,715	95,9	-2,815	%	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
13.12.2008	3	95	100	98,715
20.12.2008	3	95	100	95,935
27.12.2008	3	95	100	99,05
03.01.2009	3	95	100	96,655
10.01.2009	3	95	100	96,24
17.01.2009	3	95	100	95,3
24.01.2009	3	95	100	99,095
31.01.2009	3	95	100	95,9

Number of fines paid

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	Number of fines paid	1,655	0,87	-0,785	#	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
13.12.2008	2	0	5	1,655
20.12.2008	2	0	5	4,06
27.12.2008	2	0	5	4,705
03.01.2009	2	0	5	4,935
10.01.2009	2	0	5	1,595
17.01.2009	2	0	5	1,745
24.01.2009	2	0	5	4,025
31.01.2009	2	0	5	0,87

Number of security measures adopted

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	Number of security measures adopted	8,688	12,768	+ 4,08	#	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
13.12.2008	3	3	15	8,688
20.12.2008	3	3	15	9,072
27.12.2008	3	3	15	14,616
03.01.2009	3	3	15	4,98
10.01.2009	3	3	15	12,684
17.01.2009	3	3	15	9,672
24.01.2009	3	3	15	10,428
31.01.2009	3	3	15	12,768

Internal Operations Perspective

Name

Start value

End value

Dynamic

Parent

Contains

Internal Operations Perspective

65,31 %

41,56 %

-23,75%

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
13.12.2008	65,31	2
20.12.2008	44,11	2
27.12.2008	43,4	2
03.01.2009	27,02	2
10.01.2009	55,2	2
17.01.2009	40,05	2
24.01.2009	55,44	2
31.01.2009	41,56	2

% improvement in Order Execution Speed

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	% improvement in Order Execution Speed	53,6	53,75	+ 0,15	%	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
13.12.2008	3	10	60	53,6
20.12.2008	3	10	60	48,85
27.12.2008	3	10	60	21,2
03.01.2009	3	10	60	31,45
10.01.2009	3	10	60	32,1
17.01.2009	3	10	60	26,45
24.01.2009	3	10	60	36,45
31.01.2009	3	10	60	53,75

Price deterioration Index

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	Price deterioration Index	0,1639	0,3232	+ 0,159	#	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
13.12.2008	2	0,1	0,4	0,1639
20.12.2008	2	0,1	0,4	0,2965
27.12.2008	2	0,1	0,4	0,1939
03.01.2009	2	0,1	0,4	0,2764
10.01.2009	2	0,1	0,4	0,3535
17.01.2009	2	0,1	0,4	0,2818
24.01.2009	2	0,1	0,4	0,2044
31.01.2009	2	0,1	0,4	0,3232

Order Internalization Extent

	Name	Start value	End value	Dynamic	Measure units	Optimization method	Parent
	Order Internalization Extent	23,445	13,015	-10,43	%	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
13.12.2008	3	5	40	23,445
20.12.2008	3	5	40	20,19
27.12.2008	3	5	40	10,88
03.01.2009	3	5	40	11,265
10.01.2009	3	5	40	39,44
17.01.2009	3	5	40	14,31
24.01.2009	3	5	40	27,855
31.01.2009	3	5	40	13,015

Created by: AKS-Labs
Report created with Balanced Scorecard Designer at 05.01.2009 19:55:34