DMS/ LMS Webinar: Top 6 Deal / List Systems Challenges and How to Solve Them

Stop bleeding precious time and resources by changing your approach to common problems |

You know the challenges associated with your Deal Management (DMS) and List Management (LMS) systems & processes. You may even be aware of the full burden and cost they pose to your department and your organization. Now benefit from the fresh approach firms are taking with their Deal and List Management systems to gain efficiency and save time and resources.

How often are you faced with time-consuming issues? How painful are they? Are some reoccurring at the same steps of a deal? See how others are solving these problems:

1. Workflows


Unenforced and/or untraceable workflows utilize resources across multiple systems and require labor-and time-intensive manual tasks. Lack of flexibility to create and maintain workflows specific to deal types redundantly taps manpower and system resources – at a cost.


  • Define, create and assign workflows per deal type
  • Set enforcement per chosen parameters
  • Dynamic updates ensure a timely, accurate and efficient response


2. External System Integration


Capturing reference data on deal participants through unintegrated third-party systems.


Link to external systems via a single point of interaction embedded in the deal capture dedicated screens, enhance checks and data accuracy – to gain full audit capabilities.


3. Conflict Checks


Missed conflicts due to manual checks involving multiple departments; deal changes not updated in real time. Conflicts to run after certain Deal Update.


A customized portal that features dedicated conflict checks library that is applied automatically according to the step(s) assigned to it.


4. Control Room Lists


  • Critical delays in implementing notifications from the deal team due to time-wasting manual updates to relevant lists.
  • Many key flags missed due to slow, manual process for ‘over-the-wall’ crossing and employee status updates.


Create a single interface so that customers can edit lists and employee status with automatic updates to Control Room surveillance lists.


5. Real-time Transparency & Audit


Lacking visibility to deal status, no tracking or visibility on RFI’s, response status, or accompanying documentation (attached, added, etc.). No consistent, comprehensive audit trail across activities and steps within deal lifecycle.


Gain a real-time view of all deals by developing a dedicated dashboard, that provides instant change notifications, and full audit trail logged across all deals, steps, and involved employees.


6. Reporting


Report creation is tedious, lengthy and resource-heavy; often prone to errors.


Simplify the process by enabling your team to create report templates with auto-complete fields that populate upon generation and distribution to their defined mailing list(s).

If your firm faces any of the above DMS / LMS challenges, contact us today to learn more about our approach to assessing your unique infrastructure and needs to create a just-right solution to increase your efficiency and save you time and resources. David Grinholz, director of Capital Markets Practice, /

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