Use Cases

Getting Started

Setup Roles & Profiles

1. Setup system role model to grand employee the access to see and edit only relevant records

2. Restrict access by IP address

Admin

Create & Manage users

1. Grand access to the manager

2. Reset password

Admin

Account Management

Create & Manage Accounts

1. Create Account, add its details

2. Link Accounts into hierarchy

3. Add contact persons

4. Attach documents

Client Administrator, Compliance

Account Review by Compliance

1. Add Compliance necessary info

2. Add Entity / Trust Account structure (for further CRS reporting)

3. Get notification when lei / passport expiration date is coming

4. Get notification when next review date is coming

Compliance

Portfolio Management

Create Company Portfolio PROP / OMNI

1. Create PROP / OMNI Bank Account

2. Create PROP Portfolio

Back Office

Create Client Portfolio

1. Create Portfolio via flow (fill in all details in the one window such as Portfolio details, Bank Accounts, Access settings)

2. Set portfolio as Private to hide it from all (except specific managers)

3. Choose Portfolio Currency to get all calculations by default in USD, EUR, GBP, RUB etc.

4. Add to Portfolio Bank Account opened in Custodian or Virtual (as omnibus sub-account)

5. Add Management Fee / Success Fee rates (actual for Asset Management Firm)

Back Office

Manage Client Access to Portfolio

1. Add Authorised Persons to portfolio (using Account contacts or create new)

2. Grand “view only” or “trading” access to Portfolio 2Q23

Client Administrator

Portfolio Dashboard

1. Performance / AUM data

2. Compare Performance with Benchmark

3. Top 5 positions

4. Asset Class Allocation

5. Region Allocation

6. Currency Allocation

7. Asset Class Performance

8. Coupon Payments

All Users

Portfolio Positions

1. View Open / Closed Positions by date

2. View Position Performance by the date or period (when date is selected System shows data from the Portfolio Start Date to the selected date)

3. View Position Value, Performance in the USD, EUR, RUB, GBP, CHF currency

4. View Position by Bank Accounts

5. Create Groups by Bank Accounts

6. Group Positions by Asset Classes, Bank Accounts, Country of Risk etc.

7. Export Positions

All Users

Load transaction from the Custodian

IBKR, GPP, Investec

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Auto-matching of transactions

When order was created and executed via the System, System will automatically match it with incoming custodian data if all information is correct (Instrument, Bank Account, Quantity, Price, Gross Amount, Trade Date)

Back Office

Manual Matching of transactions

When transaction was not matched automatically it is waiting of Back Office review

Back Office

Post-Allocation

1. Allocate Omnibus transaction for the client accounts

2. Create order for transaction

Back Office

Post-Allocate Redemption, Income, Corporate Actions based on the client position on date 3Q23

Now - it is necessary to input quantity of the redemption by each client manually

New feature - select date to retrieve client positions on date and automatically fill in quantity to post-allocate Income, Redemption, Corporate Action

Back Office

Create Risk Profile based on the Asset Information

Build “hold” restrictions, specify criteria and restrict its weight on the Portfolio

Portfolio Manager, Back Office

Track Passive Limit Breach

System tracks every recalculation if current position suits with Risk Profile, if position weight does not meet targets - it creates restriction alert

Portfolio Manager, Back Office

Track Active Limit Breach

It is not possible to create order if it will lead to the position mismatch with Risk Profile

Portfolio Manager, Back Office

Restrict trades 2Q23

Ability to add restriction for BUY / SELL / TRANSFER order by the Risk Profile

As example, BUY Assets where “country of risk” = Russian Federation

Portfolio Manager, Back Office

Trading

Review Client Orders

1. Receive Notification when new order was created

2. Review its details, approve or decline order

Compliance

Set rules how to execute order by default when bank account is not selected 2Q23

Setup mapping with priority by Custodian and Asset Types

As example send equity order to the Custody 1, Fixed Income Order to the Custody 2

Admin

DMA trading

IBKR Integration (EQUITIES, FIXED INCOME)

1. System automatically sends orders to broker, receives execution reports and creates transaction based on the report

2. Order can be changed while execution (quantity, price). Technically system cancels initial DMA order and creates new one. For the end user it will be the same order for all the time, for broker several different orders

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OTC trading

1. Fill in execution details

2. Select FOP / DVP

3. Add

Trader

Trade on Omnibus Bank Account

1. When order is created on the virtual bank account it duplicates on the Omnibus

2. When execution was done (on omnibus) the result allocates on the Virtual (Client) Bank Accounts

3. Create multiple client orders

Trader

Additional order features

1. Attach documents

2. Revert OTC order (when it was executed by mistake in the system)

3. Cancel Order

Trader, Back Office

DMA options / futures

Specific IBKR Features 2Q23

1. Late trades

2. Futures mapping IBRK code to BBG id (in testing)

Reporting

Filter data by the advanced filters and export it

Depends on the specific request

All Users

Valuation Report (PDF) by Portfolio

1. Asset Structure (Asset Class, Region, Currency, Sectors, Rating, Maturity)

2. Performance, Infow, Outflow, Gain / Loss

3. Cash Balances

4. Security Valuation (by each asset class)

5. Cash Movements

6. Trades

7. Corporate Actions (Incomes, Redemption)

8. Fees (Success, Management)

9. Third Party Fees

Back Office, Client Administrator

CRS Report (XML)

By all clients by country

Compliance

Fee Management 3Q23

Fee matrix 3Q23

Create fee, add logic and specify when it must be calculated

Back Office

Management Fee by Portfolio

Relevant for Asset Management

Back Office

Success Fee by Portfolio

Relevan for Asset Management

Back Office