How to manage Structured Products (Notes)?

Introduction

Structured Notes are complex instruments that require additional control of responsible departments. LWP stores main information about structured notes, to see main guide https://lunawealth.atlassian.net/wiki/spaces/WM/pages/edit-v2/3373039649.

How Structured Notes appear in LWP and who is responsible for managing them?

There are 2 (two) ways how Structured Notes appear in LWP:

Structured Note is transferred to Bank Account of a Client;
Structured Note is bought under control of Investment and Sales Departments for a Client.

Structured Note is transferred to Bank Account of LWP Client

Back Office is responsible for Structured Notes monitoring if it appears in Client Portfolio.

If Structured Note appears in a Client Portfolio, Back Office notifies Investment Department. Investment Department requests Term Sheet on Structured Note and on its basis checks(corrects) Structured Note data in LWP.

Structured Note is bought under control of Investment and Sales Department

When Structured Note is bought under control of Investment and Sales Department all necessary data about Structured Note is filled in by Investment Department.

How to set observation dates for Structured Notes?

LWP allows to set manually Structured Notes observation dates.

In general, observation dates are created automatically by the system on the basis of Start Date and Observation Frequency.

Investment Department can set observation dates of Structured Notes in Tab “Notes” by click on "+".

When Observation date is set, it appears on a chart with main information.

The system shows 20 observation dates if Maturity date of Structured Note is not indicated

Investment Department can edit observation dates if necessary by click “..." and function “Edit".