DISCRETIONARY MANAGEMENT

Features

CLIENT ONBOARDINGCLIENT MONITORING
CRM Portfolio monitoring
MiFID/AML ProfilingClient reporting
Document filling
Signature process

Client Onboarding – MiFID

The processes of Client Onboarding and profile follow-up are often identified as bottlenecks and can sometimes be a show stopper.
The objective is to provide you, via a web-based platform, customized features to operate easily the profiling, the document filling, the signing and the investor reporting/monitoring.

The solution encompasses:

  • MiFID and AML profiling tools: based on modular questionnaires coupled with scoring module.  Your company MiFID and KYC profiling questionnaires are integrated with their scoring table.  This covers e.g. : Investment Objectives, Risk Profile, Financial Situation and Capacity to Loss, Knowledge & Experience.
  • Document filling and signing:  making easier the filling and signature of document like the mandate, any tripartite or account opening documents. Features:
    • Forms: implementation requires the digitization of these forms from your company and the custodian
    • Signature: signing process is managed via a partnership with Luxtrust and the use of the Luxtrust ORELY® services
  • CRM: managing among others the profiling reminders

Client monitoring/reporting

  • Portfolio monitoring: monitor e.g.
    • adequacy of portfolio allocation vs investor MiFID profile
    • significant depreciations (e.g. -10%) of the portfolio and/or its constituents compared to the last reporting
  • Investor reporting:
    • performance & analytics, allocation, profile adequacy, costs, depreciations and transactions performed
    • financial situation