investor onboarding - klarity riskinvestor onboarding is a web-based solution specifically designed...

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A Powerful Solution to get your Clients Onboard!

Investor OnBoarding is a web-based solution specifically designed for SS&C Advent Software

and exclusively for Advent Portfolio Exchange® (APX®) customers.

Client on-boarding process can now be managed directly within APX, including regulatory

categorization obligations (KYC), client investment profiling, investment suitability and

appropriateness assessments as well as client risk requirements. Results include optimized client

services and increased operational efficiency but also enhanced total client experience in the

onboarding processes with your company. All in one, within your trusted APX platform!

Key Features Benefit

Contact Information KYC Questionnaire Services Classification Transmission only, Non Advisory,

Advisory, Discretionary mandate

Compliance Assessment Assessment of Appropriateness Assessment of Suitability

Client Risk Rating Suggested Risk Profile based on Scoring Portfolio Information Client Risk Profile: Time Horizon and Risk Tolerance Portfolio creation Portfolio Code creation based on desired logic Model-Portfolio Association Model – Portfolio Matching

The solution can be accessed over a client’s intranet, taking under consideration the existing APX

assigned functional and data rights of the users.

Relevant information is saved in APX Contact and Portfolio pages and/or printed for client

review/signature. Template questionnaires as well as on boarding flows and processes, based

upon the latest regulatory requirements, are delivered within the core package but both can be

parametrized and configured as per client needs.

Investor

OnBoarding

PRODUCT BRIEF

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PRODUCT BRIEF / ONBOARDING klarityrisk.com

To learn more about KlarityRisk and the advantages of Investor OnBoarding contact:

info@klarityrisk.com

KlarityRisk 40 Gracechurch St. - London EC3V 0BT ‐ United Kingdom

Telephone: +44 (0) 207 118 7088 Email: info@klarityrisk.com Website: www.klarityrisk.com

Copyright© 2016 KlarityRisk. All rights reserved. Information subject to change without notice. ONBOARDING is registered trademark of KlarityRisk. All other products or services are trademarks of their respective companies.