Supposed Roles and Use Cases

Role model and rights

The system provides a role and profile builder that will help customize the system according to your business needs. However, for ease of use, the system comes preconfigured with the following default roles and their permissions:

VIEW ALL- view all records created in the System

VIEW BY COMPANY - view all records related to the Company of the current user

VIEW RELATED- view only records related to the Portfolio where current user is associated

CREATE - create the new record

MODIFY ALL - modify all records created in the System

MODIFY BY COMPANY - modify all records related to the Company of the current user

MODIFY BY RELATED - modify only records related to the Portfolio where current user is associated

Role	Description	Accounts	Portfolios	Transactions	Orders	Risk Profile, restrictions	Reports
Global	Technical role for a global administrator to setup the system ignoring company access restrictions	VIEW ALL CREATE MODIFY ALL	VIEW ALL CREATE MODIFY ALL	VIEW ALL CREATE MODIFY ALL	VIEW ALL CREATE MODIFY ALL	VIEW CREATE MODIFY	VIEW ALL CREATE
Admin	Technical role for administrating the system within the scope of access to the company.	VIEW BY COMPANYCREATEMODIFY BY COMPANY	VIEW BY COMPANY CREATE MODIFY BY COMPANY	VIEW BY COMPANYCREATEMODIFY BY COMPANY	VIEW BY COMPANY CREATEMODIFY BY COMPANY	VIEW CREATEMODIFY	VIEW BY COMPANY CREATE
Client	An Individual who has been granted the authority to view or manage the client's portfolio within agreed-upon parameters.	VIEW RELATED	VIEW RELATED	VIEW RELATED	VIEW RELATED CREATE RELATED MODIFY RELATED	-	VIEW RELATED
Head of Sales	Involved in acquiring new clients, managing existing client relationships, providing information about the company's products and services, and facilitating transactions.	VIEW RELATED	VIEW RELATED	VIEW RELATED	VIEW RELATEDCREATE MODIFY RELATED	-	VIEW RELATED
Agent
Sales Manager
Client Administrator	Responsible for client servicing, communication, meeting their needs, and addressing any concerns or inquiries they may have.	VIEW BY COMPANYCREATEMODIFY BY COMPANY	VIEW BY COMPANY CREATE MODIFY BY COMPANY	VIEW BY COMPANY	VIEW BY COMPANY	VIEW	VIEW BY COMPANY CREATE
Head of Investment Department	Responsible for managing investment portfolios, developing investment strategies, and making asset allocation decisions for clients.	VIEW BY COMPANY	VIEW BY COMPANY	VIEW BY COMPANY	VIEW BY COMPANY CREATEMODIFY BY COMPANY	VIEW	VIEW BY COMPANY CREATE
Portfolio Manager		VIEW BY COMPANY	VIEW BY COMPANY	VIEW BY COMPANY	VIEW BY COMPANY CREATEMODIFY BY COMPANY	VIEW	VIEW BY COMPANY CREATE
Trader	Responsible for executing trading operations in financial markets, monitoring liquidity, prices, and carrying out instructions for buying and selling financial instruments.	VIEW BY COMPANY	VIEW BY COMPANY	VIEW BY COMPANYCREATEMODIFY BY COMPANY	VIEW BY COMPANY CREATEMODIFY BY COMPANY	VIEW	VIEW BY COMPANY CREATE
Analyst	Engaged in financial market analysis, tracking trends, researching companies and industries to provide investment recommendations and assist in portfolio decision-making.	VIEW BY COMPANY	VIEW BY COMPANY	VIEW BY COMPANYCREATEMODIFY BY COMPANY	VIEW BY COMPANY CREATEMODIFY BY COMPANY	VIEW	VIEW BY COMPANY CREATE
Head of Back / Middle Office	Responsible for handling post-trade activities and ensuring the smooth processing and settlement of transactions. The primary focus on tasks related to record-keeping, accounting, compliance, and administrative functions.	VIEW BY COMPANYCREATEMODIFY BY COMPANY	VIEW BY COMPANY CREATE MODIFY BY COMPANY	VIEW BY COMPANY CREATE MODIFY BY COMPANY	VIEW BY COMPANY CREATE MODIFY BY COMPANY	VIEW	VIEW BY COMPANY CREATE
Back Office Manager		VIEW BY COMPANYCREATEMODIFY BY COMPANY	VIEW BY COMPANY CREATE MODIFY BY COMPANY	VIEW BY COMPANY CREATE MODIFY BY COMPANY	VIEW BY COMPANY CREATE MODIFY BY COMPANY	VIEW	VIEW BY COMPANY CREATE
Compliance	Responsible for ensuring the company's compliance with legal and regulatory requirements, monitoring adherence to internal rules and procedures.	VIEW BY COMPANYMODIFY BY COMPANY	VIEW BY COMPANY	VIEW BY COMPANY CREATE MODIFY BY COMPANY	VIEW BY COMPANY CREATE	VIEW CREATEMODIFY	VIEW BY COMPANY CREATE
Risk Manager	Involved in assessing and managing risks associated with investment operations and portfolios, analyzing potential risks, and developing risk management strategies and policies.	VIEW BY COMPANYMODIFY BY COMPANY	VIEW BY COMPANY	VIEW BY COMPANY CREATE MODIFY BY COMPANY	VIEW BY COMPANY	VIEW CREATEMODIFY	VIEW BY COMPANY CREATE

Use Cases

Create Portfolio

Client Administrator creates:

Bank Accounts,
Mandate with agreement start date,
Indicates Authorised Persons to the Portfolio and their access - view only / trading
Chooses Portfolio Base Currency

Please note that client Portfolio can consist from the Bank Accounts as Standard as Virtual (As Omnibus Sub-account). Read the instructions how to create Omnibus Bank Account and add sub-accounts.

https://help.lunawealth.com/kb/How-to-manage-Omnibus-Bank-Account-and-related-Client-Bank-Accounts%3F.3318775809.html

Setup Restrictions

Compliance creates Risk Profiles according to the company policy - specify Instrument classification and add hold restrictions to it,
Compliance associates Risk Profile with the Account,
Compliance add personal restrictions to the Portfolio via the Mandate.

To create a risk profile, you need to specify the criteria of the instrument that you want to limit in the investment portfolio's weighting. To specify the criteria, use the instrument fields. Please note that upon request, the administrator can create new fields if you do not find the ones you need.

If you have more specific restrictions (due to the sanctions and etc.) it is possible to create the Custom Process to through exception when creation order, transaction and so on based on the Account, Order, Instrument details.

Receive incoming payment

Once the Client has transferred the funds, the System initiates a transaction for verification.
If all the data is correct, a Back Office employee confirms the operation.
The System creates request to Compliance to check investment.
Compliance review the investment and confirms operation
The System updates the portfolio position - an available amount of funds is now present for placing a trade order.

The system allows for configuring automatic submission of all operations for approval according to your business process.

Transaction screen. Investment transaction is pending approval

Place Order

According to the access settings, an Authorized Person with the right to place an order creates a buy/sell order for the asset.
The System validates the order for strict constraints. If it passes the validation, the order is created and sent for review (according to system settings).
The System books the available cash for the order amount (for a buy order) or blocks the asset (for a sell order).
When the order passes the review, the Trader receives a notification about the new order.
The Trader executes the order (supporting both DMA and OTC execution).
The System records the transaction based on the provided data and recalculates portfolio positions.
Waiting for the report from the bank.

Order creation screen. Buy Asset via DMA

Track Bank Statements

If Order Management System is included in the plan, transactions based on the execution result will be created in the system and participate in calculations as unsettled part of position until custody report is received and data is matched. If transaction details are matched, System automatically approves order transaction and enriches it with custody info.

The System processes transactions from the custody statement,
The System automatically approves transactions that match the order transactions,
The System sends transactions that do not match for manual review,
Back Office review transaction and approves it
The System recalculates position based on the changes

Connector to the Custody. Reconciliation by bank accounts

Produce Report

The system allows for generating the Client Valuation Report and several regular reports such as the CRS report, Mifir, and others.

If the system does not provide a specific report that needs to be generated, it is possible to obtain the required information by using filters and exporting data.

Read more how to setup view with filters and columns in the article https://help.lunawealth.com/kb/How-can-I-manage-views-and-set-groups,-filters-and-columns-in-the-system-%3F.3305242641.html

Portfolio Valuation Report (PDF). Asset Structure Page