SOLUTIONS

Investor Compliance
INVESTOR COMPLIANCE    


AML, KYC, FATCA and CRS made simple, with your complex rules built right into the software, and workflow that simplifies the process both for your investors and for your team.

Client Lifecycle Management
CLIENT LIFECYCLE MANAGEMENT    


On-boarding, off-boarding, and every touchpoint in between, with audit trails, rules-based outreach to investors, management reporting and analytics.

Investor Servicing
INVESTOR
SERVICING    


Digitize investor servicing, from performance reporting, email query management, inflows / outflows, self-service investor profiles, and compliance management.

Digital Transformation Consulting
DIGITAL TRANSFORMATION CONSULTING    


You need a software platform that has the flexibility to support any business configuration, and when you need world-class best practice and implementation leadership, we are your partners.

Investor Compliance INVESTOR COMPLIANCE

AML, KYC, FATCA and CRS made simple, with your complex rules built right into the software, and workflow that simplifies the process both for your investors and for your team.

  • Investor Diligence Workflows: Customizable workflows enable you to perform diligence on investors, with an integrated review of data and documents across every regulation, including AML, KYC, FATCA, and CRS, across jurisdictions.
  • Four-Eye Workflow: Comply with the highest standards, ensuring that regulatory certification requirements are upheld
  • Event-Driven Compliance: Based on your policies, ensure investor compliance status is reviewed with new transactions, redemption/withdrawal requests, changes in circumstance, and at established intervals.
  • AML: Integrate with your third party AML data providers, including LexisNexis Bridger and ThomsonReuters WorldCheck for a single place to review and remedy hits, and to escalate reviews when needed.
  • KYC: Use the configurable rules engine to set KYC documentation requirements based on the investor type, jurisdiction and investment vehicle, and then automate the outreach to investors for missing or expired documentation.
  • FATCA & CRS across Jurisdictions: The rules engine determines investor reportability by jurisdiction, based on investor type, fund jurisdiction and regulatory authority. Finomial uses OCR (optical character recognition) technology to search for indicia in documents, and data analytics to identify indicia in the database.  Review indicia, and automate the process of requesting the required curing documents directly on the platform.   Generate XML files to the exacting requirements of each jurisdiction, resolve data quality issues, and file electronically.  Use the reporting dashboard to prioritize and execute on filing deadlines.
  • Tax & Self-Certifications: Finomial offers W-forms and fully customizable self-certifications, which you can request from investors automatically, based on the date of the documents you have on file. Automatically generate online tax form and self-certification requests; track receipt; review documents; and follow-up on outstanding items.  Harvest the data provided by investors on the forms directly into the database, eliminating manual data entry and improving accuracy.

Client LifeCycle Management CLIENT LIFECYCLE MANAGEMENT

On-boarding, off-boarding, and every touchpoint in between, with audit trails, rules-based outreach to investors, management reporting and analytics.

  • Investor On-Boarding: Investors come into your organization the way that’s best for them; while the Finomial integrated platform brings it all together.
  • E-Docs: New Client Forms, Subscription Documents, and Client Questionnaires can be completed online, by the investor or their advisors. Any document can be rapidly implemented on Finomial as-is, so that every datapoint is harvested into the database, eliminating manual data entry.
  • Integrated Inbox: For clients who prefer to provide their forms as scanned PDFs sent via email, the Integrated Inbox provides a robust workflow which harvests documents from emails automatically, and uses OCR technology to tag emails based on investor, fund, and transaction type. Teams no longer use a shared inbox as a stand-in for an enterprise workflow platform.
  • Investor Profile: For clients who send paper documents via the postal service, new investors are onboarded with the creation of an investor profile. The investor profile consolidates all of the data and documents related to the investor in a single view, and automatically triggers requests for outstanding KYC documents as needed.
  • Capital Activity: Transaction-driven onboarding is enabled for subscription agreements, wherein investors are on-boarded via their electronic or paper limited partnership agreement.
  • Integrated Client Positions: Integrate real-time or batch client positions into Finomial for a holisitic view of the investor and their activity
  • Rules-Driven Updates: Orchestrate client outreach based on rules-driven criteria such as recent transactions, the investor’s platform log-ins, or date-driven periodicity.
  • Investor Off-Boarding: Comply with data retention rules, identify zero-balance investors for regulatory reporting, and cleanly manage the off-boarding process.

Investor Servicing INVESTOR SERVICING

Digitize investor servicing, from performance reporting, email query management, inflows / outflows, self-service investor profiles, and compliance management.

  • Performance Reporting: It’s time to go beyond a simple data room to provide performance reporting to investors. In addition to robust document management and publishing approvals workflow, Finomial enables you to provide investors with outputs of the underlying data, and to visualize performance data.
  • Branded Experience: Finomial’s Investor Portal supports your brand, whether you white-label the entire Finomial platform or leverage Finomial functionality within an existing online client experience.
  • Content Marketing: Post information about your firm and new product launches where your clients will see it – on the Investor Portal they use for interactions with your firm. Manage that content directly with self-service tools designed for business users.
  • Self-Service Investor Profiles: Clients can update their own investor data and documents directly online, eliminating manual data entry. At the same time, profile changes are subject to your internal four-eye policy and controls that you configure.
  • Investor-Friendly Compliance: Investors are tired of being bombarded with emails requesting supporting documentation and new forms. Instead, all investor compliance activities are consolidated on the Investor Portal into a user-friend Task List to streamline responses.
  • Online Transactions: Investors can log in to initiate and view transactions, feeding directly into the capital activity capabilities

Digital Transformation Solution DIGITAL TRANSFORMATION CONSULTING

You need a software platform that has the flexibility to support any business configuration, and when you need world-class best practice and implementation leadership, we are your partners.

  • Data Cleansing: Digitial Transformation often stalls on data quality. Our expertise in automated data cleansing, data cleansing projects, and data harmonization enables us to work with you on the heavy lifting.
  • Data Quality Management: One-off data cleansing combined with a process and technology for data quality management ensures you avoid creating new problems.
  • Data Loading: Finomial’s platform tools for data loading enable rapid go-live, and our consulting teams make the process seamless.
  • Document Loading: Client documents are often siloed in content management systems or saved on shared drives. Finomial tools and teams enable you to have a single platform for all client data and documents.  Document metadata combined with the Finomial rules engine then further drives your compliance process.
  • Real-time Data Integration: Finomial APIs enable real-time data integration with downstream systems such as investor allocations, transfer agency and data warehouses.
  • Digitize the Client Experience: Finomial provides strategic guidance and leadership for bringing together teams across your organization to define digital strategy. With Finomial, you define the strategy and the platform will follow.
  • Process Design: Eliminating manual process and paper documents often requires organizational transformation. Our teams can work with you to design an end-state process, and then ensure your processes and systems support that vision.
  • Workflow Automation: Determining what steps in a workflow can be automated depends on many factors, including your internal risk policies and your priorities for the client experience. Finomial helps you automate where it matters most to you.
  • Workload Balancing: Our platform is designed for geographically-dispersed teams with country-specific data privacy requirements. Our consulting team can help you ensure the right teams handle the right data at the right time.