Every order checked against what the client actually said.
A dealing desk places orders on other people’s instructions. AcuityQ holds the recorded instruction and the order side by side, flags the ones that do not match, and freezes the order until a human has looked — which is a different posture from finding out at the monthly audit.
Screens in this module: Desk console · Client portfolio · Product comparison · Calculators · Post-trade compliance · Dealer ↔ sales messages
Post-trade compliance
Today · 312 calls analysedWhat it does
Six things, stated plainly
Desk console
Mapped clients, calls today, turnover and brokerage month to date, the SIP counter against target, and the compliance flags waiting on review — on one screen, from live data.
Portfolio fetched, not stored
Holdings, ledger and margin are pulled from the core system at the moment the screen opens and are never persisted in AcuityQ. What a dealer sees is what the core system says, to the second.
Comparison that knows the client
The product comparison re-ranks itself against the client in context — idle cash, exposure already held, risk band — so the suggestion is specific rather than a brochure.
Calculators at the point of the pitch
Brokerage plan comparison, SIP projections and margin workings, computed inside the conversation instead of in a spreadsheet after it.
Post-trade instruction matching
The recorded call and the placed order are compared for scrip, side, quantity and product type. A mismatch raises a flag with a severity, freezes the order where policy says so, and asks the dealer to explain.
Dealer to sales, on the record
Threaded messages between the dealing desk and the relationship manager, attached to the client record rather than living in a chat app nobody can produce at an audit.
Screen flow
An instruction, from call to compliance
What happens between a client saying "buy" and the desk being able to prove what was said.
- Client calls the desk
The call arrives with a screen-pop of the client record: holdings, ledger, margin and open cases, all fetched live.
Automatic - Instruction recorded
The call is recorded on your telephony platform and transcribed. AcuityQ holds the reference, not the audio.
Telephony - Order placed
The dealer places the order in the core system. AcuityQ records that it was placed, by whom, against which instruction.
Dealer - Matched after the fact
Scrip, side, quantity and product type from the instruction are compared with the order. Latency from call end to alert is measured and reported.
Gate - Flag, freeze, explain
A mismatch raises a severity-graded flag. Critical flags freeze further order placement on that client until a supervisor clears it.
Compliance - Reviewed and closed
A human confirms a breach or dismisses the flag with a reason. Both outcomes are kept; the dismissals are what keep the model honest.
Supervisor
Who works here
The roles this module belongs to
AcuityQ™ is one platform. What a person sees is decided by the capabilities their role holds and the scope they sit in — see every role side by side.
Manager / supervisor
Sees the whole organisation and can drill from it to one person without changing screen. Sets targets, thresholds and escalation policy, and approves the transfers that move a book from one person to another.
- Enterprise dashboard
- Targets & achievement
- Productivity & activity
- Leaderboard
- SLA & escalations
Dealer operations
Runs a dealing desk against live portfolio data fetched at the moment of opening, never cached. Every order placed on a client’s behalf is checked after the fact against the recorded instruction.
- Desk console
- Client portfolio
- Product comparison
- Calculators
- Post-trade compliance
Honest limits
What this module does not do
Stated here so nobody spends a procurement cycle discovering it. If one of these is a requirement, say so early and we will tell you whether it is on the roadmap or simply not our product.
It does not place orders
Orders are placed in your core broking system. AcuityQ records that the order happened and checks it against the instruction; it is not an OMS and it is not in the execution path.
It does not do surveillance
Post-trade matching answers "did the desk do what the client asked". Market surveillance — manipulation, insider patterns — is a different discipline and a different product.
It does not hold your recordings
Voice logging and its retention remain with your telephony platform. AcuityQ links to the recording rather than duplicating it.
Questions
What a buyer asks in the second meeting
How accurate is the instruction matching?
It is a model working on a transcript, so it is not perfect and the page reports its accuracy rather than hiding it. The design assumes false positives: a flag asks a human to look, and a dismissal with a reason is a normal outcome that feeds the next training round.
Does AcuityQ store call recordings?
No. The recording stays on your telephony platform under your retention policy. AcuityQ holds the reference and the transcript-derived comparison, which is what keeps the storage question with the system that already answers it.
What happens when the core system is slow?
The portfolio panel shows the fetch time and says plainly that it is fetching. It does not show a cached figure and pretend it is live — a stale holding on a dealing desk is worse than a spinner.
See dealing desk against your own desks
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