With Finomial’s Investor compliance, your complex rules are built right into the software, and the workflow simplifies the process both for your investors and for your team.
Finomial Investor Compliance digitally transforms AML and KYC with a single, integrated platform for AML list monitoring (including integration with LexisNexis Bridger and Thomson Reuters World Check), cleansing, and remediation.
Investors prompted to collaborate with their manager, enabling both parties to create a faster and more accurate KYC workflow. Finomial helps you to ensure compliance, stay ahead of the latest regulations, reduce errors, and speed reporting – so you can focus on accelerating revenue.
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.
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.
Review indicia, and automate the process of requesting the required curing documents directly on the platform. The rules engine determines investor reportability by jurisdiction, based on investor type, fund jurisdiction and regulatory authority to ensure FATCA and CRS compliance.
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.
Based on your policies, ensure investor compliance status is reviewed with new transactions, redemption/withdrawal requests, changes in circumstance, and at established intervals.
Comply with the highest standards, ensuring that regulatory certification requirements are upheld
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