Wealth Manager Functions

• View consolidated reports
• Multi level aggregation according to e.g. family members, asset classes
• View and manage portfolios of financial assets
• Quantify risk of financial assets
• View nonfinancial assets and their valuations
• Manage payments according to PSD2 directives

Middle Office Functions

• Calculate commissions
• Calculate performances
• Create and manage registry of illiquid assets
• Manual input of valuations from third sources
• Verify compliance with respect to investment policies, MIFID and FINMA regulations and limits (supports MiFID single-name and portfolio approach)
• Create and manage Model Portfolios ( changes due to Asset Allocation committee decision are all logged) for finanial assets
• Verify correctness of Model Portfolio allocation vs. investment policies, MIFID parameters, tactical asset allocation, etc
• Set up and manage FIX technical connections
• Download data from banks (via custom interface or PSD2 APIs)

Front Office functions

• Monitor on RT basis all the portfolio values (quantities, PL, exposure)
• Rebalance single or bulk portfolios from the Model Portfolio allocation
• Generate orders and transmit them to the custodian banks, by email or FIX protocol (currently supported: 4.2, 4.4)
• Monitor the status of the order book

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.