|CLIENT ONBOARDING||CLIENT MONITORING|
|MiFID/AML Profiling||Client reporting|
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
- 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