Legally Compliant Advice

Legally Compliant Advice 1

Client Advisory Process (CAP)

  • Business Process
    CAP encompasses the entire client advisory process to fulfil MiFID and other legal requirements with regards to documentation and pre-trade checks of appropriateness, suitability and target market. In-process creation of an Investor Profile Questionnaire process to document changes in clients’ knowledge and experience. Seamless integration of existing investment proposals from Investment Proposal Process (IPP).
  • Supported Legal Structures
    The process supports natural and legal persons and recognizes different roles of legal client, power of attorney and authorized representation in complex structures with minors or persons who are not contractually capable as well as joint accounts in conjunction with AND and OR relations.
  • Form Shipment and Client Feedback
    Full support of an end-to-end business process including client specific dispatch of advisory form and electronical client acceptance via client postbox integrated with the advisory process.

PIB – Product Information Bulletins Shipment and History

  • PIB Dispatch
    Creation, correction and shipment of PIB documents. Identification of clients in regard to their account authorization. Selection of individual clients or groups of clients, allowing to check client relations, extent of authorization and versions of PIB already received.
  • Documents in Scope
    Documents provided by SIX Telekurs, vwd, DERICON and your own research, self-created product information (VIB, PIB, KIID) and product snapshots, distinguishing between mandatory (PIB, VIB) and optional documents (snapshots, factsheets).
  • Multi-channel Shipment and Archiving
    Selected documents can be shipped to clients via multiple channels depending on their preference. Support of fax, postal service, email and electronic postbox with feedback cycle. Archived documents can be retrieved later to review and completely document the entire advisory history for any client.
Legally Compliant Advice 2