Features
Module 1
Subscription workflow
Dynamic management of the subscription form
- Invitation to subscribe in direct or indirect mode (100% digital)
- Customization of workflow process steps and investor questionnaires
- Consistency checks, easy backtracking and corrections
- Automatic generation of the subscription form
- eIDAS electronic signature (multi-signatures possible)
Monitoring of the subscription process
- Follow-up of the progress of a current subscription
- Subscription management dashboards
- Management areas according to roles: back-office, middle-office, compliance, signatories, etc.
- Team management (multi middle-office by geographical area and/or by fund)
- Traceability, audit trail and time stamping of actions, with Blockchain certification if required
- Interfacing with management tools (via API) : E-Front, Sales Forces, Unicia, Subscript, Intralink, etc.
Dynamic KYC management
- Loading of supporting documents according to the nature of the investors (individuals, companies, PPE, beneficial owners, etc.) and their level of risk
- Control of the investor's identity document
- Custodian access (KYC validation process)
- Notifications and alerts (expiration dates, etc.)
- Request for additional documents
- Due diligence of supporting documents
- Risk scoring
Module 2
Investor extranet
- Investment dashboard
- Electronic vault: subscription forms and other documents
- Message Inbox
- Preservation of supporting documents
- Conservation of data for future subscriptions
Module 3
Distributor & WMA extranet
- Sending and follow-up of online invitations
- Follow-up of actions to be taken
- Pre-filling of subscription forms possible
- Sales portfolio dashboard (by advisor and/or by head of network)
- Real-time commission view
- Signature of partner agreement
Module 4
Premium support to users
- Live Chat
- Hotline with the possibility to switch the call to Management Companies internal teams
- Monthly interventions report
Module 5
Securities transfer
Buyer & seller workflows dedicated to a securities transfer transaction
Module 6
Anti-Money Laundering/Combating the Financing of Terrorism
Automatic generation of an AML-CFT risk report:
- Screening of global databases (governmental, judicial, newspapers) related to EPP (politically exposed persons), penal and regulatory sanctions, reputation (Namescan)
- Continuous screening(alerts)
- Reports archiving
- Control of beneficial owners (INPI)
Module 7
Unlisted securities register
- Dynamic capitalization table
- Downloading of documents (PDF register, Excel capitalization table)
- Real-time control of the consistency of the data
- Certification on the Ethereum Blockchain
- Ownership certificates
Module 8
Online payment
Settlement of subscriptions and payment of WMA commissions:
- Multiple payment methods (bank transfer, credit card, direct debit)
- Payment monitoring (tracking, time stamping, traceability, etc.)
- Dashboards
