PARTNERSHIP PROGRAM

Partnership program and joint business development

Comprehensive partnership solutions for financial institutions, advisors, and investment firms

Our services

Comprehensive market coverage
Scale up your capital markets access with simple setup and configuration solutions to offer your clients more equity exchanges, bond venues, mutual funds, global futures, global options, foreign exchange, and CFD.
Integrated risk analytics
Your clients benefit from one cross-collateralised account to manage risk and netting across multiple instruments with real-time position keeping and account management.
Seamless reporting services
Streamline your operations with our comprehensive reporting services — market reports, strategy updates, and performance analytics delivered directly to your team.
A single consulting partner
Alleviate complexity and simplify order execution, reporting, and analytics architecture with an all-inclusive solution: analytics platforms, technology, brokerage, and portfolio management across all asset classes.
Reduced operational complexity
Outsource your trading needs to our scalable, capital-efficient open architecture infrastructure to reduce cost and complexity and focus on client-centric innovation and service.

Ready to discuss a partnership with Principal Advisor?

Access to global markets and post-trade
services for your clients

We offer financial institutions trading, execution and reporting services for self-trading, advisory and
discretionary clients. Your partner clients are contracted with Principal Advisor, and we take care of all processes from
KYC and on-boarding to risk management.

Benefit from flexible
partnerships tailored to your
business needs

Our Partnership offering is our premium solution for partners with introduced partner clients, meaning the partner client is contracted with Principal Advisor. We support our partners on their growth path and offer outsourced functionality across the full value chain with smooth integration across the entire capital markets infrastructure.

Our clients gain access to leading multi-asset execution, combined with efficient post-trade processes—all from a single account. This includes an integrated back-office and regulatory support.

Principal Advisor’s success lies in the success of our partners. We share a common interest in supporting your business and assisting you in achieving your business potential. We strongly believe in the importance of your clients’ financial prosperity and have constructed a business model where our interests are aligned with yours, and your clients’. We take pride in our ability to cultivate and maintain long-term trusted partner relationships.

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	Partnership Introducing only	Partnership Power of attorney	Partnership Money manager
Partner type	Purely introduce; advisory only	Introducer with order assistance; advisory with power to execute	Full discretionary mandate; managed accounts
Financial license requirement	Yes	Yes	Yes
License type*	License to introduce clients	License to execute trades on behalf of clients	License to manage portfolios management and discretionary trading
Partner client access to partner client accounts	View-only access	Trading access	Discretionary trading rights
Partner client access to partner client accounts	Full access	Trading access	View-only access
KYC & onboarding responsible	Principal Advisor	Principal Advisor / Partner	Principal Advisor / Partner

*May differ based on jurisdictions

Trusted by partners worldwide

Our clients represent a broad spectrum of financial intermediaries, banks, brokers and other fintech providers. All benefit from Principal Advisor’s global expertise in technology, capital market access and trading and investment management capabilities gained from over 30 years’ of providing services to retail and institutional clients.

Principal Advisor is trusted by over 200 banks and brokers and over 400 financial intermediaries across the globe. Click below to learn more about our broker solutions.

Broker solutions

88%

Client success rate

50+

Global partners

95%

Client satisfaction rate

Why partner with Principal Advisor

Increased scale and automation: Automated back-end processes frees up partners to focus on investment performance and customer management and acquisition.
Low cost of ownership while keeping pace with technological innovations. You enjoy lower ongoing capital and operating expenditure.
Reduced complexity: Decrease your reliance on multiple providers and outsource the full front-to-back capital markets value chain infrastructure.
Control your partner clients’ investment journey with fully integrated execution, reporting and monitoring tools.
Global capital markets access and multi-asset class investing with multi-currency support in a single account.

Client-centric approach: Expand or adjust your service offerings and build personalised trading and investment solutions facilitating a quick-to-market business strategy.
Technology-enabled market access: Get DMA to global markets, aggregation technology and liquidity optimisation services.
Digital client experience from onboarding through to trading and post-trade processes.
Best-practice compliance capabilities and regulatory compliance.
Competitive pricing for partner clients and flexible partnership model. Reducing trading and holding costs allows our partners to retain higher profits.
Bespoke human service and first-class engagement model delivering a best-in-class partnership experience

Services and solutions

Enable your clients to access 4 market segments across margin and cash products. Benefit from best-in-class execution and liquidity plus financing and integrated real-time risk management from a single clearing and portfolio management account.

Stocks
23,000+ stocks covered across New York, Hong Kong, London, and 50+ other markets.
Bonds
5,200+ government and corporate bonds analyzed from around the world.
Mutual funds
18,300+ funds from the world’s top money managers.
ETF
7,400+ ETFs covered across tech, healthcare, environmental, and other major sectors.
Crypto ETFs and ETNs
ETPs tracking bitcoin, ethereum, ripple, tezos, and others.
Forex
185+ forex pairs across majors, minors, exotics, and metals.
Forex options
45+ FX vanilla options with maturities from one day to 12 months.
Listed options
Options on stocks, indices, interest rates, and futures from 20+ exchanges.
CFD
8,600+ CFD on single stocks, indices, forex, commodities and more.
Commodities
Range of commodities to trade as CFD, futures, spot pairs, ETCs and more.
Futures
250+ futures covering equity indices, energy, metals, rates, and more.

Best-in-class execution and liquidity
Our Tier 1 liquidity is sourced from 85 venues, multiple banks and ECNs and we support own-flow execution integration through local memberships. You can manage clients’ subscriptions to real-time data on select exchanges with market data services, including automatic booking of client-elected monthly subscription fees.
Integrated risk analytics
A single trading environment for overall portfolio exposure management, real-time position keeping and account management, risk and margin monitoring and a trading-related activity log.

Research platforms for partner clients

Get to market quickly and enhance your offering with our research and analytics solutions.
Offer your clients branded research portals and analytics dashboards.

PA Strategy Platform
Cater to your retail investors with a user-friendly front end that makes it easy to diversify and build managed portfolios as well as self-trading portfolios across cash products
PA Research
Provide your retail traders with a simple, multi-asset front end with some advanced trading tools
PA Research Desktop
Meet the needs of advanced traders with our professional-grade, customisable trading platform
Partner API
Create bespoke and fully integrated user experiences using our technology stack and Partner API

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Integrated portfolio management and back office services

Partner tools and analytics

PA Analytics is our new flagship partner platform designed to serve all types of partners who gain operational efficiency by using one system to connect all of their business functions.

Platform functionalities are provided to your employees according to user authorisation profiles and incorporates front-, middle-, and back-office capabilities.

We offer a full cycle of investment activity support:

Trade reconciliation and reporting
Digital client journey for corporate action elections
Mandatory and voluntary corporate actions processing
Withholding tax handling
Client proxy voting handling
Overnight financing
Stock lending inventory handling
Collateral management
Stocks transfer handling

Partnership partners can select to co-brand all client-facing touchpoints, including trading platforms, and onboarding flows. Partner clients will be presented with both brands throughout the journey. The partner can customise URL, logo and the contact details. By using Principal Advisor’s templates, the partner ensures that all necessary documents are collected from partner clients in a clean, uniform manner.

Reporting services

We produce standard accounting EOD files with comprehensive data on all activities for the previous 24 trading hours.

Orders and trades
Cash balances and movements
Currency exchange rates
Positions and mark-to-market valuation
Corporate actions
Account management activities

All partner clients of the partnership will be included in Principal Advisor’s daily transaction reporting. This will save costs for the partner as Principal Advisor is already providing reports in accordance with regulatory standards across all asset classes, taking care of any process risks and the daily costs of maintenance.

We help ensure regulatory compliance across multiple jurisdictions.

Consolidated reports and partner client statements
Yearly statement
Cost overview
MIFID II transactional reporting / EMIR reporting
Integration of your custodian and reporting services

Individual partner client reports are available at any time within the trading platforms. These reports are designed to provide them with the information they require for accounting and tax purposes. Reports can be easily generated for predefined or custom date ranges and delivered in either Excel or PDF formats.

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Partnership solutions and core offerings

Trading/monitoring/reporting portal

Order capture
Market data
Charting
News
Price alerts
Research and analytics (market overview, security data)

Connectivity
Broker/DMA connectivity
Liquidity
Transaction event notification
Feed provider

Real-time position and portfolio balances
Risk management (margin calculation and collateral management)
Order monitoring and routing management
Trading (capture, matching, allocation, clearing, reporting)
Multi-currency sub-accounts
Block trading and allocation
Automatic point-of-trade FX conversion

Monitoring tool (back-office and customer lookup)
Customer Configuration management
Support case management

Netting/reconciliation
Corporate actions
Stock transfers
Proxy voting
Portfolio management
Commission, financing and interest calculations
Portfolio accounting
Business intelligence (reporting, statistics, audit)

Relief at source (US)

Trade surveillance

End-of-Day files (raw data)
Trading and position API
Event notification service
Corporate action API

System development
Change management & QA

Hosting and housing
Capacity
Availability
Scalability
Maintenance
Incident management
Disaster recovery/business continuity
IT compliance

Lead generation tools – demo accounts
Client education
Marketing support
Co-branded platforms
Client analytics

Partnership framework

Principal Advisor provides flexible partnership structures tailored to your business model.

International securities are held under a nominee management framework and all accounts are pre-funded and enjoy the benefit of contractual reporting.

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