Context of use of Cube Platform
An authorized External Advisor, advising clients on their portfolios deposited with custodian banks

Company functions involved
Front Office, Back Office

Back Office Functions

  • Download positions and transactions from custodian bank
  • Manual input of bank transactions and positions
  • Reconcile bank transactions with client approved advice
  • Upload financial instrument EMTs
  • Manage database of financial instruments
  • Calculate performances
  • Calculate fees

Advisor Functions

  • View portfolios
  • Analyze portfolio risks
  • Generate reports
  • Generate investment proposals
  • View Order Book of advisory activity

CRM functions

  • Profile prospect clients: KYC, AML, PEP, etc
  • Create and manage Risk Profile questionnaires
  • Calculate the client Risk Scoring
  • Create and calculate client risk profiles according to MiFID and FINMA
  • Assign Portfolio Management line based on Risk Profile scoring
  • Manage client exceptions to Portfolio Management line

*Note: functions as shown above are typical of larger or more structured organizations. However, the User / Role /Restrictions matrix enables the creation of any number of roles based on e.g. internal or regulatory directives, company size, “chinese wall” requirements, etc.