PRODUCTS

Finomial automates investor servicing from end to end, bringing together fund administrators, fund managers, and investors

FATCA / CRS / TAX

Ensure comprehensive regulatory compliance when onboarding any investor

Analyzes investor data and identifies investors where FATCA declaration is required

Analyzes investor data and identifies investors where FATCA declaration is required

Coordinates and automates outreach to investors for FATCA declarations using online email generation and tracking

Coordinates and automates outreach to investors for FATCA declarations using online email generation and tracking

Enables investors to respond to your FATCA inquiries online for real-time data capture and analysis

Enables investors to respond to your FATCA inquiries online for real-time data capture and analysis

Automates the process of collecting W-8 and W-9 forms and archives/audit logs all data collection processes

Automates the process of collecting W-8 and W-9 forms and archives/audit logs all data collection processes

Provides management analytics on the status of FATCA declarations by fund, investor and investment balance

Provides management analytics on the status of FATCA declarations by fund, investor and investment balance

Finomial AML

Anti-Money Laundering compliance is about more than checking a name against a database. It’s about ongoing monitoring in the context of the client profile, their activity, and the complex relationships between and among clients and counterparties.

Risk-Based Approach
➤  You define the risk classifications & criteria
➤  Streamline reviews based on risk priority
➤  Enable overrides and reporting

Risk-Based Approach

  You define the risk classifications & criteria

  Streamline reviews based on risk priority

  Enable overrides and reporting

Customizable Rules Engine
➤  Business users can configure risk classifications
➤  Criteria for each risk classification can be customized on the fly

Customizable Rules Engine

➤  Business users can configure risk classifications

  Criteria for each risk classification can be customized on the fly

Beneficial Ownership
➤  Deep mapping of Underlying Beneficial Owners (UBOs)
➤  Controlling Persons, Related Parties
➤  Drill down to “n” levels of beneficial ownership

Beneficial Ownership

 Deep mapping of Underlying Beneficial Owners (UBOs)

 Controlling Persons, Related Parties

 Drill down to “n” levels of beneficial ownership

Global & Local Data
➤  Finomial integrates with third party AML databases
➤  You choose the source
➤  LexisNexis Bridger, ThomsonReuters Worldcheck & others

Global & Local Data

 Finomial integrates with third party AML databases

 You choose the source

 LexisNexis Bridger, ThomsonReuters Worldcheck & others

Audit & Reporting
➤  Full audit log with transparency for business users
➤  Management reporting metrics are fully customizable

Audit & Reporting

 Full audit log with transparency for business users

 Management reporting metrics are fully customizable

Finomial KYC

Know Your Customer is more than a box to check – it’s a collaborative process with your clients and counterparties, and requires sophisticated analytics that cross country boundaries and business lines.

Customizable Rules Engine
➤  You define KYC document requirements by client type, jurisdiction, activity and risk profile
➤  Automatically solicit annual or periodic document refreshes
➤  Request additional documentation based on client activity, risk rating changes and regulatory requirements

Customizable Rules Engine

 You define KYC document requirements by client type, jurisdiction, activity and risk profile

 Automatically solicit annual or periodic document refreshes

 Request additional documentation based on client activity, risk rating changes and regulatory requirements

Converge Data & Documents
➤  Client profiles converge data & documents, instead of leaving documents siloed in shared drives or document management systems
➤  Review KYC documents in the context of the client profile, risk rating and activity

Converge Data & Documents

 Client profiles converge data & documents, instead of leaving documents siloed in shared drives or document management systems

 Review KYC documents in the context of the client profile, risk rating and activity

Four-Eye Reviews
➤  Customize the workflow to ensure the right number of reviewers, based on client risk profile
➤  Enable escalation inside and outside your organization

Four-Eye Reviews

 Customize the workflow to ensure the right number of reviewers, based on client risk profile

 Enable escalation inside and outside your organization

Collaborate & Close the Loop
➤  Request missing documents from clients automatically
➤  Clients can provide documents directly on the platform, immediately closing the loop
➤  Documents received via email can be automatically harvested into the platform, eliminating painstaking manual steps

Collaborate & Close the Loop

 Request missing documents from clients automatically

 Clients can provide documents directly on the platform, immediately closing the loop

 Documents received via email can be automatically harvested into the platform, eliminating painstaking manual steps

Audit & Reporting
➤  Full audit log with transparency for business users
➤  Management reporting metrics are fully customizable

Audit & Reporting

 Full audit log with transparency for business users

 Management reporting metrics are fully customizable

Capital Activity

Bridge the relationship between fund administrators and fund managers

Providing full visibility into all inflows and outflows while
ensuring uniform compliance every step of the way

THE FINOMIAL PROCESS

Investor transaction is received directly in Finomial

Investor completes subdoc online

Fund Admin reviews subdoc compliance and sends it to the Fund Manager for final approval

Fund Manager approves subscription

Fund Admin sends contract note to investor

Investor receives contract note

Fund Manager
arrow
arrow
Fund Manager
arrow
arrow
Fund Admin
Fund Admin
arrow
arrow
Investor Investor

Investor Portal

One portal for all your data, documents and workflows for all your meaningful real-time interactions

Provide direct personalized information to all your investors

  • view all documents in a centralized
  • manage documents, tasks, and activity in a single dashboard
Investor Portal