SITC

SYSTEMS in the CITY FINTECH DIRECTORY SEARCH

The following section deals with all data service and system suppliers to the regulated investment sector.

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3i Infotech Asset Management	Company Name 3i Infotech Employees: 5000 Turnover: Address: International Infotech Park, Vashi Navi Mumbai, Navi Mumbai Post Code: 400 703 Phone No: +91 (22) 7123 8000 General Description of Company A comprehensive set of IP based software solutions (20+), coupled with a wide range of IT services, uniquely positions the company to address the dynamic requirements of a variety of industry verticals, predominantly Banking, Insurance, Capital Markets, Asset & Wealth Management (BFSI). Furthermore it offers solutions to the government, manufacturing, retail, distribution, telecom and healthcare sectors. Among its repertoire of IPR based solutions the flagship products of the Company are Premia, MFund, Orion, Kasle and Amlock.The Company has a very strong foothold and customer base in geographies like South Asia, Middle East and Africa, China, Asia Pacific, Kingdom of Saudi Arabia and North America. The Company is also focused on value added services such as business intelligence & analytics services, infrastructure management services, testing & compliance, application development & maintenance, consulting and its BPO offerings.The Company’s Global Delivery Model provides for the best resources to be drawn from its vast talent pool across the globe to offer optimal solutions. The Company integrates its products and services to create customized solutions to allow you to undertake technology based business transformation that allows reorganization in line with today’s dynamic digital business environment. Services Provided Description Asset Management Mfund Plus Suite Investment Management Solution is a multi currency enabled web based application designed to provide an automation tool to various financial institutions undertaking Fund Management activities. Last Updated: 14/11/2019
Agreement Express Data Management	Company Name Agreement Express Senior Executive Contact Mike Gardner Sales Contact Adam Jones ajones@agreementexpress.com Solutions Most Suitable For Wealth Managers, Financial Analysts, Custodians, Payment Service Providers Employees: 100 Turnover: $10.4M Address: 625 Howe St., Suite 900 Vancouver British Columbia, Canada Post Code: V6C 2T6 Phone No: +1 877 247 3397 General Description of Company Agreement Express is the leading onboarding automation platform for financial services. The Agreement Express platform allows financial services companies to deliver a consistent client onboarding experience across their product offerings & channels, while providing deep analytics that enable proactive and personalized client advice. The platform is the first of its kind to help top performing firms gather, use, and re-use client data to improve and evolve rich customer experiences. Services Provided Description Data Management Payment Service Providers:Payment service providers are empowered to make the merchant application process easier with a fully digital experience. Achieve instant approvals by automating the KYC and underwriting process. Wealth Management: We are digitizing the practices of RIAs, broker dealers, and custodians. Firms can offer a white glove client experience with a self service new account opening interface, integrated to back office workflows. Last Updated: 29/11/2018
AJ Bell Securities Outsourcing	Company Name AJ Bell Securities Senior Executive Contact Charles Galbraith, CEO Sales Contact Patrick Towers patrick.towers@ajbell.co.uk Solutions Most Suitable For Wealth Managers, Discretionary Managers Employees: 700 Turnover: £89.7m Address: 1st Floor 49 Southwark Bridge Road, London Post Code: SE1 9HH Phone No: +44 (0) 161 876 3175 General Description of Company AJ Bell Securities have the flexibility to create tailored solutions for your business without all the costs that some of our competitors might demand. We believe in working closely with our clients and take the time to truly understand their business so that we can create a long-term partnership. The longevity of our client relationships is something we are really proud of. Many of the companies we work with today have been with us since our inception, and many of our new clients come on the back of a personal recommendation. Services Provided Description Outsourcing AJ Bell Securities have the flexibility to create tailored solutions for your business without all the costs that some of our competitors might demand. We believe in working closely with our clients and take the time to truly understand their business so that we can create a long-term partnership. The longevity of our client relationships is something we are really proud of. Many of the companies we work with today have been with us since our inception, and many of our new clients come on the back of a personal recommendation. Last Updated: 12/05/2023
Allfunds Asset Management Custody Outsourcing Investment Funds Services Data Banking and Connectivity CASS Corporate Actions Data Management Insurance Offshore Services Operations Securities Settlement Trading Wealth Management Offshore Fund reporting Data SITC Company Award SITC Individual Award	Company Name Allfunds Senior Executive Contact Simon Shapland, Head of UK and Ireland Sales Contact Bradley Lewis bradleylewis@allfundsbank.com Solutions Most Suitable For Investment Banks, Private Banks, Platforms, Asset Managers, Stockbrokers, Wealth Managers, Custodians, Pension providers, Life Insurance providers, Retail Banks Employees: Turnover: Address: 2 Fitzroy Place, 8 Mortimer Street, London Post Code: W1T 3JJ Phone No: +44 (0) 20 7758 5000 General Description of Company Allfunds, a leader in fund distribution and wealthtech innovation, is uniquely dedicated to offering fund servicing to institutional firms and continues to develop its one of a kind, multi-currency service proposition in the institutional market. Created in 2000, today Allfunds has more than €500 Billion assets under administration and offers more than 85,000 funds from over 1,550 fund managers. Services Provided Description Asset Management We give access to over 650 distributors based in 30 countries and allow our Asset Managers to efficiently manage and optimise all their funds in a single, intuitive environment. They can upload and manage fund data fast, reduce their administrative burden of paperwork, user permissions and invoicing so they can focus their time on what matters most. Custody Allfunds combines state of the art technology, the efficiency of automated dealing platform together with 19 years of building Europe’s largest Institutional Fund Platforms to offer sub custody for over 650 global clients. Outsourcing We empower distributors and fund managers to achieve their goals via a state of the art digital one-stop shop, thanks to our exclusive solutions created specifically for the B2B financial industry. Investment Funds Services Allfunds has over 25 dedicated fund analysts providing proprietary qualitative and quantitative Funds Research providing bespoke solutions for our global clients. Data Allfunds offers a strategic solution to European regulatory reporting needs to all types of financial institutions, cutting costs and improving reliability through a single data management system. Banking and Connectivity Allfunds is a bank for the purposes of settlement of trades and enables contractual settlement for both sides of the Market as well as offering a wide variety of connectivity options including SWIFT, Web, FIX, API and FTP. CASS Allfunds has aligned it’s model so that its clients can operate under CASS and offers a Client Bank Account Acknowledgement letter, Client Money Procedures, a reconciliation policy and internal and external reconciliation together with segregated bank accounts with the ability to auto sweep any cash account holdings at the end of each day. Corporate Actions Allfunds offers an enhanced corporate action service providing the full corporate action notice followed by a detailed summary which includes the type of event, the isins affected and the effective and cut off dates of any required actions. Data Management Allfunds offers a unique gateway to an extensive high quality data offering allowing both sides to manage the data they provide and consume. Insurance Allfunds is ideally placed to service the largest Insurance groups globally and as well as offering sub-custody services we also provide the data for the regulatory requirements such as PRIIPs. Offshore Services Allfunds has 11 International offices and has clients in 45 different domiciles globally placing it at the heart of Global Fund Services for both distributors and Fund Managers alike. Operations Allfunds via its international operational centres of excellence offers operational fund services across the industry including trading, settlement, corporate actions and regulatory data. Securities Settlement Allfunds offers contractual settlement of Funds to clients on both side of the Market enabling surety of payment and net settlement available in 30 separate currencies to the Allfunds client segregated cash accounts. Trading Allfunds offers its distributors and Fund Managers a wide range of connectivity options in order for them to send and receive their Funds trades and gives its clients access to over 84,000 isins for trading as well as providing world class service though it’s operational centres of excellence. Wealth Management Allfunds is ideally placed to help Wealth Managers with the Fund requirements including dealing, settlement, CASS, corporate actions, data and regulatory reporting. Offshore Fund reporting Data Allfunds offers a strategic solution to European Regulatory Reporting needs to all types of financial institutions, cutting costs and improving reliability through a single data management system. Last Updated: 08/04/2022
Alpha Terminal Market Data	Company Name Alpha Terminal Senior Executive Contact Martin Stamp, CEO Sales Contact Kuldip Sandher enquiries@alphaterminal.co.uk Solutions Most Suitable For Alpha Terminal is widely used by Investment Managers, Wealth Managers, Fund Managers and Retail Brokers. Employees: Turnover: Address: Ionic House, 3 Bath Place Rivington Street, London Post Code: EC2A 3DR Phone No: 020 7749 8522 General Description of Company Alpha Terminal is a multi-asset platform which enables Investment professionals to analyse and monitor stocks, investment trusts, funds, ETFs and bonds as well as all the latest news and broad coverage of currencies, commodities and economic data in order to better inform their clients. \n \n Our platform uses a collection of carefully designed interfaces which are streamlined to meet individual needs and provides the information required to make your work life easier. \n \n Customer service is a key aspect of our proposition. All clients are given free one-to-one training to ensure Alpha Terminal is configured to suit the user s requirements. We also offer ongoing UK based telephone & email support and free refresher training to help all clients get maximum benefit from the new functionality we add on a regular basis. \n \n What our clients say about Alpha: \n \n "It makes a huge difference on the phone not to have to visit multiple pages of data to answer client questions. The screen layouts that the team at Alpha Terminal customised for us provide most of the data we need. Moving the mouse over certain data items ? like ex-div flags or dividend history ? reveals further information which helps us to service clients more efficiently ? ultimately, providing a better quality of service.” \n \n Get your free trial of Alpha Terminal at www.alphaterminal.co.uk Services Provided Description Example Customers Market Data • With Alpha Terminal’s Market Data platform, our clients can manage everything, all in one place. Analysing and monitoring stocks, investment trusts, funds, ETFs and bonds as well as all the latest news and broad coverage of currencies, commodities and economic data. \n\n • The software uses a collection of carefully designed interfaces which are streamlined to meet individual needs and provides the information required with minimal effort. • Our client-focused training & support and constant user-lead development means Alpha Terminal is customised to each individual's needs to ensure we feel like a business partner, not just a supplier. Rowan Dartington, Charles Stanley, Tilney, WH Ireland, Killik & Co, Canaccord Genuity Wealth Management, Close Brothers Last Updated: 12/05/2023
Altus Other Functionality SITC Company Award	Company Name Altus Senior Executive Contact Kevin Okell, Managing Director Sales Contact Howard Finnegan howard.finnegan@altus.co.uk Solutions Most Suitable For Wealth Managers, Banks (Private), Stockbrokers, Fund Managers Employees: Turnover: £9.844m Address: Royal Mead, Railway Place, Bath Post Code: BA1 1SR Phone No: +44 (0) 1225 438 000 General Description of Company Altus was founded in 2005 with a mission to speed up financial services with superior technology. Altus supplies specialist consultancy services and market-leading automation software to the wealth management sector. Altus has become a recognised expert in the Financial Services industry, and our software has a proven record of slashing process times. Privately owned, Altus employs 75 people and is based in Bath. Altus software has been ISO 27001 accredited since 2017. Services Provided Description Example Customers Other Functionality The Altus Transfer Gateway (ATG) is the market leading Account/Portfolio transfer and asset re-registration automation system. It support the industry’s widest range of tax wrappers and asset types, and handles bulk account transfers and asset migrations. ATG is the only market solution to automate the full share class conversion process electronically across all parties. ATG orchestrates the whole transfer process from initiation to reconciliation and takes care of all aspects of transfer operations including service level monitoring, customer progress queries, error and breach alerts, work allocation and team supervision. It provides comprehensive MI to monitor and manage customer service delivery. Used by over 60 of the leading Investment Platforms, Wealth and Investment Managers, ATG provides full support for the Open Transfer standards (TeX), the Banks and Building Societies Cash ISA transfer service and manual counterparties (fax, post and emails). It is highly configurable and customisable, with comprehensive integration facilities to dovetail with existing systems and processes. Built around a comprehensive security model, with multi-level authentication, fine-grained access control and a full audit trail, ATG is available as an installed system, or a hosted service with integration to the leading wealth and investment management platforms. Charging basis: Volume of transactions. Number of customers: Over 80 customers use ATG across adviser platforms, D2C platforms, execution only brokers, wealth managers, private banks, custodians and fund managers. Hargreaves Lansdown, Charles Stanley, Smith & Williamson, Rathbones, Platform Securities, Pershing, Multrees, Hubwise, Rowan Dartington, Redmayne Bentley, Barclays Wealth, 7IM, HSBC, Nutmeg, Raymond James, Fidelity Last Updated: 08/04/2022
Assured Thought Limited Testing Services Managed Services Offshore Services Other Functionality	Company Name Assured Thought Limited Senior Executive Contact Daniel Dore Sales Contact Gareth Nagle gareth.nagle@assuredthought.com Employees: Turnover: Address: 124 City Road, Shoreditch, London Post Code: EC1V 2NX Phone No: 02080641927 General Description of Company Assured Thought is a leading consultancy providing integrated QA and software testing solutions for the financial services industry. We specialise in providing expert, flexible QA and testing services to financial services companies like wealth managers, asset managers and private banks. By specialising in financial services, we outperform those larger generalist QA consultancies in all the ways that matter to your company. As specialists, we have the knowledge and experience to provide comprehensive QA and testing services tailored to your company s unique needs, empowering you to excel through quality, resulting in increased profitability, happier customers and employees, and a sustainable future. Services Provided Description Testing Services Managed Services Offshore Services Other Functionality Last Updated: 21/04/2023
AutoRek Asset Management CASS Wealth Management Retail Banking SITC Company Award SITC Individual Award	Company Name AutoRek Senior Executive Contact Gordon McHarg, CEO Sales Contact Hugh Burden hugh.burden@autorek.com Solutions Most Suitable For Asset Managers, Banks (Retail), Wealth Management Employees: 70 Turnover: £6.2m Address: The Garment Factory, 10 Montrose Street, Glasgow Post Code: G1 1RE Phone No: 0845 603 3613 General Description of Company Implemented in many of the world s largest organisations, our range of deployments vary from high volume data migrations, elimination of manual processes and spreadsheets, regulatory reporting, reduction in fast close processes, to mitigation of operational and regulatory risk. Our suite of solutions include: - Compliance and regulatory reporting solutions, including CASS and MiFID II Transaction Reporting; - Financial control frameworks; - Balance sheet certification/account attestation; - High-volume data migration; and - Automated cash allocation. Services Provided Description Asset Management AutoRek is utilised in the asset management community most often to automate CASS requirements for client money and client assets. In addition, wherever there are large volumes of data across multiple systems, or manual processes and spreadsheets AutoRek helps to save money, increase accuracy and reduce risk. CASS AutoRek is utilised in the asset management community most often to automate CASS requirements for client money and client assets. In addition, wherever there are large volumes of data across multiple systems, or manual processes and spreadsheets AutoRek helps to save money, increase accuracy and reduce risk. Wealth Management AutoRek is utilised in the asset management community most often to automate CASS requirements for client money and client assets. In addition, wherever there are large volumes of data across multiple systems, or manual processes and spreadsheets AutoRek helps to save money, increase accuracy and reduce risk. Retail Banking AutoRek works with high street banks, challenger organisations and start ups to deliver timely, accurate and robust financial data control. The offering has been designed to reduce spreadsheet reliance, provide cost reduction, allow risk mitigation, provide volumetric pricing, cloud management, ease regulatory compliance and provide enhanced control. Last Updated: 08/04/2022
Avaloq UK Ltd Private Banking Retail Banking	Company Name Avaloq UK Ltd Senior Executive Contact Jurg Hunziker Sales Contact Jonathan Davis, Head of UK & Ireland Jonathan.Davis@avaloq.com Solutions Most Suitable For Banks (Private), Wealth Managers, Banks (Retail) Employees: 2000 Turnover: CHF 565m Address: 3rd Floor, 2 Copthall Avenue, London Post Code: EC2R 7DA Phone No: 0207 796 3587 General Description of Company Avaloq is driving the digital transformation and automation of the financial services industry. To further spur innovation, we work with customers, other fintechs, universities and hundreds of third party developers in a uniquely collaborative way we call the Avaloq Ecosystem.Headquartered in Switzerland, Avaloq has more than 2,000 employees and has a presence in the world’s most demanding financial and innovation centres, including Berlin, Frankfurt, Hong Kong, London, Luxembourg, Madrid, Paris, Singapore and Sydney. Services Provided Description Private Banking Avaloq is a leader in core banking software and digital technology and a provider of software as a service (SaaS) and business process as a service (BPaaS) solutions for banks and wealth managers. Avaloq Software as a Service (SaaS) solution comes with all the components, processes and interfaces you need to get your banking and wealth management staff up and running. It includes a host of specialised third party solutions to ensure comprehensive coverage of all business critical functions. Retail Banking We have developed our own software and services from day one to help wealth managers and private, commercial and retail banks serve everyone from major companies to individual consumers. Last Updated: 29/11/2018
AxeTrading	Company Name AxeTrading Senior Executive Contact Greville Lucking Sales Contact Shaz Nasrin sales@axetrading.com Employees: 40 Turnover: GBP £5m Address: 26 Finsbury Square, London Post Code: EC2A 1DS Phone No: +44 20 3397 1777 General Description of Company A global fixed income trading software company that delivers unique market making, price making and order execution with our AxeTrader software. AxeTrading is uniquely positioned to empower banks, buy-side firms, agency brokers and exchanges to maximize their fixed income trading strategies successfully with aggregated liquidity, multiple pricing feeds, powerful client servicing and execution capability across voice and electronic trading. \n\n AxeTrader provides traders with access to market aggregation, enhanced data and trading workflows in a single desktop enabling more efficient and transparent trading. It interacts seamlessly across execution venues and data sources to deliver the STP processing, reporting and audit workflows. Services Provided Description Last Updated: 12/07/2022
Banking Circle Finance Banking and Connectivity Corporate Banking Digital Banking	Company Name Banking Circle Senior Executive Contact Anders la Cour, CEO Sales Contact Thomas Longhurst tml@bankingcircle.com Solutions Most Suitable For Banks, FinTech’s, Marketplaces, Acquirers, PSPs Employees: Turnover: Address: 24 King William Street, , London Post Code: EC4R 9AT Phone No: +44 (0)20 7073 0421 General Description of Company Banking Circle is a global scale financial utility, underpinning the service propositions of a wide spectrum of financial institutions, allowing them to focus resources on the customer relationship. \n \n Membership of Banking Circle gives financial institutions the geographic reach and access to the markets in which their customers want to trade, underpinned by a financial utility that enables global payments and settlements through a global account infrastructure, a global FX capability, and a secure and compliant banking platform. \n \n For banks, Banking Circle offers an add-on to the correspondent banking model. \n \n For Financial Tech businesses, Banking Circle offers an alternative for managing multiple banking relationships in different regions. Services Provided Description Finance Banking Circle is a global scale financial utility that gives financial institutions the ability to enhance their customer proposition. Banking Circle is helping Financial Tech businesses and banks to provide their customers with faster and cheaper cross border banking solutions as well as business lending facilities, without the need to build their own infrastructure and correspondent banking partner network. Banking and Connectivity As Banking Circle members, financial institutions can offer their customers banking services – from payments to loans – to help them trade domestically and globally, efficiently and at low cost. Importantly they can help their customers improve cash flow through enhanced speed of settlement whilst remaining fully compliant with financial regulation. And they can help them fill the cash flow gap with flexible business lending services. Corporate Banking Banking Circle is empowering financial institutions to support their customers’ international trading ambitions, without the need for multiple banking relationships, whilst reducing risk and the operational cost of transactions. Businesses that were previously financially excluded are now able to participate in the digital and global economy in a way that was not previously possible. Digital Banking Banking Circle empowers financial institutions to support their customers on international payments and settlements through a global account infrastructure, FX capabilities and a fully compliant banking platform. Businesses that were previously financially excluded are now able to participate in the digital and global economy Last Updated: 12/05/2023
BITA Risk Wealth Management Client Onboarding Compliance Performance & Attribution Portfolio Management Risk & Controls Risk Compliance Analytics SITC Company Award SITC Individual Award	Company Name BITA Risk Senior Executive Contact Daryl Roxburgh, Global Head Sales Contact Sales Team bitarisk@corfinancialgroup.com Solutions Most Suitable For Wealth Managers, Private Banks, Family Offices Employees: Turnover: Address: 28-30 Cornhill 2nd Floor, London Post Code: EC3V 3NF Phone No: +44 (0) 203 848 4263 General Description of Company BITA Risk®, part of the corfinancialTM group, delivers innovative, award-winning software to high and ultra-high net worth wealth managers. Our BITA Wealth® application provides investment teams, advisors / managers, and governance divisions the tools they need to develop and grow their businesses in a consistent and controlled way. It brings valuable oversight, insight and transparency to the investment process, transforming the efficiency of your business and raising your game. Designed as a series of modules that encompass investor profiling (risk/suitability/ESG), portfolio analytics, ESG management, REG-9 automation and enterprise level portfolio monitoring, which can be deployed individually or combined to deliver against multiple business needs. Services Provided Description Wealth Management BITA Wealth is a multi-award winning application that delivers investor profiling, portfolio analytics, integrated ESG, and enterprise level portfolio monitoring to wealth management firms. Proven across client AUM in excess of £180bn, BITA Wealth gives managers the freedom to construct and manage portfolios within a firm’s investment and regulatory framework, whilst ensuring constant oversight and control. Underpinned by institutional strength risk capabilities and risk models, BITA Wealth delivers insight from enterprise exposures through to detailed asset factor analytics, ensuring portfolio alignment with both client mandate and investment policy. This process is supported, critically, by robust exception management, reporting and management information. Already integrated with GIPS Performance, Financial Planning and CRM applications to provide extended functionality, it is a connected modular solution. Client Onboarding BITA Wealth Profiler delivers multi-dimensional investor profiling to wealth management firms and their financial planning networks. Risk, suitability and ESG restrictions and preferences are considered, analysed and then systematically matched to a firm’s investment proposition. BITA Wealth Profiler delivers enterprise-wide client segmentation and branching, supporting growth through high quality investment proposal generation and efficient annual review reporting. Compliance Automating the complexities of portfolio monitoring, BITA Wealth Monitor delivers quick and easy analysis of portfolios compared to any set investment criteria, including models, benchmarks, bespoke mandates and restrictions. Entire books of business can be analysed in minutes, delivering exceptional oversight across single or multiple entities, and supporting M&A impact analysis where applicable Performance & Attribution BITA Wealth is integrated with First Rate’s GIPS compliant portfolio performance and attribution solution to provide full client reporting and performance management information and monitoring through BITA Wealth Monitor. Portfolio Management BITA Wealth enables managers to model a portfolio and generate a list of trades at account level for export and execution, all within the context of the portfolio level mandate KPIs. It displays the client’s current holding/asset allocation against a target portfolio, enabling managers to perform what-if analysis and check the impact of trades on risk, other quantitative metrics and the client’s suitability parameters prior to trade export. Portfolio changes can be made line-by-line, or managers can choose to instantly rebalance a client portfolio against a chosen model or another portfolio. Proposed trades are able to be exported in a file or sent via an API to a trading system. BITA Wealth can be used for current clients; for modelling portfolios for prospects or held-away accounts; and for the management of model portfolios and overlay solutions. BITA Wealth includes: • Contributions to risk, yield, OCF, and fixed income characteristics • Look-through on funds, ETFs, composite model portfolios • Raw gain analysis on proposed trades • Portfolio optimisation option • Visualisation of key portfolio metrics for current and proposed portfolios • API integration with BoR and OMS systems Risk & Controls BITA Wealth Monitor delivers enterprise oversight and control, enabling firms to efficiently manage the risks of portfolio and asset outliers, whilst empowering managers and advisors with intuitive, relevant portfolio analytics and decision support tools BITA Wealth Monitor provides firms with portfolio risk monitoring and governance by taking every portfolio every night and running them against up to 40 tests across risk, suitability, performance, ESG and regulatory requirements, ensuring constant adherence to client mandate and investment policy. Examples of the tests include: • Risk (volatility, tracking error and CVaR) • Multiple concentration measures • Liquidity • Fixed income measures • Model deviation measures • Research / buy / restricted list measures • Investment policy adherence • Ethical restrictions and preferences A fully auditable exception management and approval process is central to the management of outlier portfolios. Risk Compliance Analytics BITA Wealth Monitor delivers instant information across an enterprise, enabling firms to quickly identify and manage risk, suitability, performance and ESG risks; reported at Board, Branch, Manager and client levels. Daily, automated tests compare portfolios to their mandate, benchmark and the firm’s investment policy, ensuring the quick identification of asset or portfolio outliers. Investment managers have instant access to intuitive portfolio analytics and reporting, enabling them to better analyse and manage portfolios to ensure continued risk and ESG suitability. Efficient automation delivers instant oversight and control to central investment and governance teams, enabling firms to better manage and scale their investment offering. Integrating easily with existing systems, BITA Wealth Monitor enables firms to increase efficiency and drive growth without the need for large scale IT projects. Key functions • Detailed portfolio insight & analysis • Integrated exception management & approval processes • Centralised investment oversight • M&A impact analysis and oversight • Performance Monitoring information • Detailed trend, pattern and MI analytics • Supports regulatory best practice • REG-9 automation Last Updated: 08/08/2022
Bloomberg Business News Portfolio Management Data Management	Company Name Bloomberg Sales Contact Viktoria Degtar vdegtar@bloomberg.com Employees: 21598 Turnover: $9.4 Bn Address: 3 Queen Victoria St, , London Post Code: EC4N 4TQ Phone No: +44 (0) 20 7330 7500 General Description of Company Connecting decision makers to a dynamic network of information, people and ideas, Bloomberg quickly and accurately delivers business and financial information, news and insight around the world. Services Provided Description Business News Portfolio Management Data Management Last Updated: 29/11/2018
BNY Mellon Data and Analytics Solutions Performance & Attribution Portfolio Management Data Investment Management SITC Company Award SITC Individual Award	Company Name BNY Mellon Data and Analytics Solutions Senior Executive Contact Charles Teschner, Global Head of BNY Mellon Data and Analytics Solutions Sales Contact Marc Rubenfeld, Head of Sales EMEA marc.rubenfeld@bnymellon.com Employees: c1,000 Turnover: n/a Address: 49th Floor, One Canada Square, London Post Code: E14 5AL Phone No: +44 (0) 20 7163 3827 General Description of Company Services Provided Description Performance & Attribution Understand trends. Deliver results. Stay agile and responsive to seemingly constant market, client and regulatory changes with help from BNY Mellon’s innovative Eagle Performance measurement product. With integrated workflows from data consolidation, return calculation, to analysis and reporting, the Eagle Performance suite provides you with an enterprise-wide solution that centralizes your performance measurement process. Designed and engineered as a fully integrated suite, Eagle Performance provides consistency across multiple functions, including portfolio performance, retail fund performance, attribution, GIPS® composite management, benchmark management and ex post risk analysis. Portfolio Management Be a world-class investment organisation and support business growth with an efficient operation. To be successful in today’s fast-moving global marketplace, investment organisations must have timely and accurate investment data to meet business demands, report to customers, and deliver to regulators. Markets around the world can change direction as global events unfold. Investment organisations still running on legacy platforms introduce risk into business operations and cannot keep pace. Our agile continuum of business solutions delivers timely, accurate data to help make investment decisions, and support customers and regulators. Maximise your technology investment by supporting your regulatory, operational and customer needs with BNY Mellon`s Eagle Accounting product, built with exception-based business processing in mind. Your business analysts—not your IT staff—can respond quickly and easily to new requirements and security types with a product suite built to provide a highly scalable architecture. And you can work with our Instrument Engineering team to quickly respond to new investment types. Data A “single version of the truth,” always within reach. Managed effectively, investment data is your firm’s most valuable asset. BNY Mellon`s Eagle Data Management platform empowers you to centralize and efficiently manage your firm’s complex investment assets. With a single, consolidated, enterprise view of all assets, you can gain actionable insights, make data-driven decisions and can meet the business challenges associated with today’s complex global markets and regulatory requirements. Investment Management BNY Mellon’s Data and Analytics Solutions helps investment managers to transform data into insights and actions, and inputs into outcomes. The Data and Analytics Solutions offering further extends BNY Mellon’s capabilities in securities and cash to the world’s most important ‘asset class,’ data. Providing clients the ability to better manage data and to harness underlying value through an open offering of software, and proprietary and 3rd party applications. As a software and content business, inclusive of the Eagle Data Management, Accounting, and Performance products available on the Eagle ACCESS(SM) private cloud and the Intermediary Analytics’ sales and distribution data, the offering also expanding to include a suite of new cloud-based applications. Last Updated: 07/09/2022
BNY Mellon \| Pershing Capital Gains Tax Clearing Service Model A Clearing Service Model B Client Reporting Corporate Actions Data Trading Middle Office Portfolio Management Securities Settlement Other Functionality SITC Company Award SITC Individual Award	Company Name BNY Mellon \| Pershing Senior Executive Contact Maarten Heukshorst, Chief Commercial Officer Sales Contact Helen Oxley, Director, Business Development EMEA info@pershing.co.uk Solutions Most Suitable For Multiple client types Employees: Turnover: Address: Royal Liver Building, Pier Head, Liverpool Post Code: L3 1LL Phone No: +44 (0) 20 3322 4806 General Description of Company Pershing Limited, a subsidiary of BNY Mellon, provides comprehensive execution and post trade services to over 80 banks, broker-dealers, wealth managers, financial planners and advisers in Europe. We provide international custody from Pershing (Channel Islands) Limited and EU27 custody from our Irish entity, Pershing Securities International Limited. Clients are serviced by more than 400 employees across five locations: Liverpool, London, Manchester, Dublin and St. Helier, Jersey. Globally, Pershing holds $2.0tn in assets under custody and/or administration. Why Pershing? Fully Disclosed Solution As a global custodian, we believe that our primary focus must always be the safe custody of client assets. We provide a fully disclosed solution, with the investor details disclosed to Pershing. Pershing acts as the custodian for their assets. We have the regulatory permission to hold and control client money and can administer the books and records for individually segregated client accounts. Clients benefit from this fully disclosed model as Pershing has responsibility for client asset regulatory compliance and reporting and is classified as a large CASS firm by the FCA in the UK. In addition, Pershing executes trades and is responsible for best execution and reporting requirements. Clients also benefit from Pershing acting as the settlement counterparty, with settlement obligations reflected on Pershing’s balance sheet. Pershing has responsibility under regulatory requirements for the selection and appointment of sub-custodians and client money banks, ensuring accounts are properly documented to meet regulatory requirements. Financial Strength and Stability Our parent company, BNY Mellon, is one of the world’s largest custodians with an AA- credit risk rating and with the high levels of capitalisation and liquidity required by one of only 30 global systemically important banks (G-SIBs). Expertise in Regulatory Compliance We have strong expertise in regulatory compliance (such as MiFID II reviews, CSDR, SRD II, SMCR, SEAR, Operational Resilience and the New UK and EU Prudential Regimes), which means we can help you navigate the ever changing and challenging regulatory landscape. Empowering Technology The flexibility and sheer breadth of functionality of our proprietary technology will allow you to operate more efficiently and expand your proposition. Services Provided Description Capital Gains Tax Clearing Service Model A Clearing Service Model B Client Reporting Corporate Actions Data Trading Middle Office Portfolio Management Securities Settlement Other Functionality Last Updated: 12/09/2022
Bravura Solutions Wealth Management Fund Management Investment Management Data Data Management Managed Services Operations Capital Gains Tax Client Reporting Portfolio Management Other Functionality SITC Company Award SITC Individual Award	Company Name Bravura Solutions Senior Executive Contact Chris Spencer, Managing Director – EMEA Sales Contact Ian Hutchinson, Propositions – EMEA contactus@bravurasolutions.com Solutions Most Suitable For Fund Managers, Pension Companies, Investment Managers Employees: 1500 Turnover: Address: 5th Floor 201 Bishopsgate, London Post Code: EC2M 3AB Phone No: +44 207 997 3000 General Description of Company Bravura Solutions Limited is a leading provider of software solutions for the wealth management, life insurance, and funds administration industries. Our solutions are underpinned by functionally rich technology that enables modernisation, consolidation, and simplification. Our software solutions enable our clients to increase speed to market, provide a seamless digital experience and address ongoing changes in financial services regulation. Backed by over 30 years of experience, our on-premise, managed, hosted and cloud solutions are used by many of the world’s leading financial institutions, who entrust trillions of dollars in assets to our systems. We support our clients with a team of more than 1,400 people in 17 offices across Australia, New Zealand, United Kingdom, Europe, Africa, and Asia. Services Provided Description Wealth Management SONATA - Sonata is a modern, web enabled administration solution with deep functionality that draws on a long heritage of solution innovation. Sonata supports the administration of a broad range of business lines including wrap and platform, retail investments, retail and group super pensions, and life insurance.Sonata allows your business to focus on improving efficiency and growing the bottom line, all whilst providing excellent service to customers. Built from the ground up to help improve your organisations client engagement, Sonatas rich functionality delivers a new benchmark in capability from product construction to operational management and technical integration. SONATA DIGITAL - integrated into the core Sonata platform, Sonata Digital provides a suite of digital capabilities that enables your digital strategies and gives you the flexibility and agility to leverage emerging technologies and changing market opportunities. Fund Management TRANSFER AGENCY AND FUND ADMINISTRATION Bravura supports some of the most significant transfer agency administrators and self-administered fund managers across Europe. We provide leading transfer agency software solutions that simplify and streamlines the global administration of a wide range of investment products. Our market-leading transfer agency platforms deliver unprecedented operational efficiency through the automation of processes and support for real-time interfaces and messaging standards. All this coupled with features that comfortably accommodate change – helping your business to remain compliant in an ever-evolving regulatory environment. TAWEB Bravura’s taWeb digital solution comprises two distinct portals – investor and intermediary, with a tailored user experience for each. Developed for third-party administrators, fund managers, distributors, direct investors and financial advisers, the websites are easy to use — with straight-through processing delivering real-time access to account data, fund trading and key investor documents. Hosted onsite or by Bravura, the portals are deployed as a single application and seamlessly integrated with your back-office systems. Investment Management Garradin is a comprehensive, multi-currency investment management and private wealth system, with integrated asset administration, registry, and tax management functions. Garradin provides advanced investment management features, supporting a wide range of products including SMSFs and Small APRA Funds. Data Delivered via FinoComp (a Bravura company). With complex system structures and increased regulation, the requirement for quality, up to date asset data within a Wealth Management company is paramount. The FinoComp Single Source of Asset Database tackles this issue by automatically ingesting asset-level data. This data is validated via an innovative approval checking function and then synchronised across multiple data sources through an advanced system integration layer. Functionality includes; • Multi-Platform capability • Supports all asset types including funds, equities, bonds and ETFs • Defined user privileges to support creation and approval • Full electronic audit history • Data quality is reinforced by a reconciliation to the source data to ensure you have consistent, clean and up to date asset data throughout the business. Data Management With a proven track record in successfully migrating data to our systems, Bravura Solutions’ team of specialists set the benchmark for best-practice data migration, delivering projects that are on time, on budget and exceed client expectations. The key to any successful data migration is using trusted experts. Bravura Solutions' team of data migration specialists have extensive knowledge of source systems and an intimate understanding of our software, ensuring that implementation of our software delivers your business known outcomes and low risk. Bravura’s data migration experience is a cornerstone of the business, having successfully delivered numerous and diverse client projects across a global product suite. These include superannuation and KiwiSaver, life insurance, pensions and workplace, ISA, onshore and offshore bonds and investment products. Managed Services Bravura Solutions offers an extensive range of managed application and cloud services that ensures the best performance of our administration systems, maximising the value of your software investment. By handing over the day-to-day management of your Bravura software to our specialist team, we provide the deep expertise to manage and enhance the software on your behalf so that your business is free to focus on your core strengths – product and service delivery. From full software hosting including infrastructure support, database administration and provision of disaster recovery facilities, together with operational management, help desk services and software support, you have the backing of a world-class team of experts driven by mutual service level agreements to ensure your business needs are fully supported. At Bravura, we deliver our software solutions through either an installed or hosted delivery model. Operations Underpinning Bravura's market-leading solutions are an extensive range of services that ensure our software comprehensively meets your business needs. We work in partnership with you to make sure our software solutions continuously deliver optimal performance – by offering unique expertise, in-depth technical knowledge and extensive industry experience to maximise the value of your software investment. With over 30 years of experience in implementing, supporting and maintaining our industry-leading solutions, combined with our culture of innovation, Bravura's world-class range of professional services ensures we establish highly efficient back-office operations for your business from the very beginning. ORCHESTRATOR Orchestrator is an integral process management application. It is an industry-standard business process model and notation (BPMN) compliant modelling tool, which allows users to build, execute and manage processes, define business functionality, manage their workforce, and interact with customers and advisers. Orchestrator can help reduce costs by delivering straight-through-processing (STP) and making better use of a customer's workforce. Consistent processes, along with interaction and feedback, lead to improved customer and adviser service. Orchestrator can enhance productivity levels within firms by enabling users to prioritise work and delegate amongst colleagues and team members. It supports users’ compliance and review requirements through its audit and control functionality and management information of service level agreements (SLA) and efficiencies. STANZA Stanza is a machine learning powered virtual team member, scanning incoming unstructured communications, and discerning the "intent" of the conversations and indexing for further processing. Correspondence from all channels (email, phone, voicemail, documents/forms) is parsed to text for Stanza to review, define the intent, and pass on to the appropriate team or trigger automated processing. You can implement standalone, alongside existing CRMs or integrated with CRMs to bring automation to processes and multi-classification. Capital Gains Tax Delivered via FinoComp (a Bravura company). The FinoComp cost base calculation engine, Cobalt, is an innovative tool that calculates clients unrealised and realised gains and losses, to calculate capital gains tax. Its flexibility is such that it can handle real-time updates and performs recalculations within seconds. The processing of complex scenarios, such as corporate actions, is fully automated, and there’s a suite of data hygiene checks and administration functions to ensure data is accurate. The web interface provides excellent user experience, with graphical illustrations of realised and unrealised gains and losses, and drill-down functionality to see how profits or losses have been calculated. It’s built on state-of-the-art architecture with open APIs, so data is easily accessible and offers clients the ability to develop their user interface if preferred. Its scale has been proven with the UK's largest retail platform using the service. Client Reporting Delivered via FinoComp (a Bravura company). TierDrop is a unique portfolio performance calculation engine and reporting tool. It provides acute, consistent and timely performance data to its key users; platforms, DFMs, wealth managers and advisers. It calculates the performance of individual client investment portfolios and alerts of any instances where clients’ portfolios have dropped by 10% or more, in line with the MIFID II reporting requirements for notifying clients when their discretionary managed portfolios have dropped by 10% or more. Features, such as data hygiene checks and the use of complex calculation algorithms, ensure these calculations are highly accurate and reduce the risk of incorrectly reporting or missing clients. The tool provides an intuitive drill-down functionality which makes it simple to navigate. The use of visualisation not only reduces the risks of clients being incorrectly reported or missed but also improves customer experience by giving DFMs time to analyse the portfolio and provide a narrative alongside the notification that their portfolio has dropped. It's integrated with two of the UK's leading retail platforms and uses cloud technology to ensure its easily accessible to all users. Data is also readily available to adviser and client portals through a suite of APIs developed for the service. Portfolio Management Delivered via FinoComp (a Bravura company). ‘Insight’ provides access to state-of-the-art reporting analytics, enabling the tracking and accurate analysis of performance data across investment portfolios both at an individual investor level and across multiple accounts. Insight offers a choice of reporting methods using Time-Weighted and Money Weighted returns calculations, as well as multi-currency reporting and attribution analysis down to individual asset level. Other Functionality FINANCIAL MESSAGING Bravura's Babel solution is a group-wide financial messaging platform that connects to a range of financial product distributor platforms and the back-office functions of investment managers, using a comprehensive variety of message media and formats. Providing seamless communication and functionality, Babel supports all major industry infrastructure providers including Calastone, Clearstream, Euroclear, DTCC, BBH and more. It can also process any message transmission medium format and offers highly flexible integration with Bravura Solutions’ transfer agency and wealth platforms, in addition to a wide range of proprietary third-party transfer agency systems and order management solutions. MIFID II EX POST COSTS & CHARGES Delivered via FinoComp (a Bravura company). The FinoComp CoCa module is designed for the calculation and production of the MIFID II Ex Post Costs & Charges disclosures. CoCa is an independent MicroService aimed at wealth management companies and platforms to automatically produce the MIFID II Ex Post costs and charges disclosures. It’s been built with an innovative web interface offering wealth management companies flexibility to map their charges to the defined buckets and define the treatment of specific criteria such as cross-account charging and foreign exchange. Last Updated: 13/06/2023
Broadridge Financial Solutions Retail Banking Client Reporting Middle Office Banking and Connectivity Compliance Data Management Fund Management Institutional Broking Investment Management Managed Services Market Data Retail Broking Risk & Controls Wealth Management Asset Management Corporate Actions Data Fees or Billing Portfolio Management SITC Company Award	Company Name Broadridge Financial Solutions Senior Executive Contact Tim Gokey, Chief Executive Officer Sales Contact Bob Santangelo global@broadridge.com Employees: 14,000 Turnover: $5 Address: 193 Marsh Wall, London, UK Post Code: E14 9SG Phone No: +44 (0) 20 7551 3000 General Description of Company Broadridge, a global fintech leader with over $9 billion in market capitalisation, helps clients get ahead of today's challenges to capitalise on what's next with communications, technology, and data and analytics solutions that help transform their businesses. Broadridge’s investor communications, securities processing and managed services solutions help clients reduce their capital investments in operations infrastructure, allowing them to increase their focus on core business activities. With over 50 years of experience, Broadridge’s infrastructure underpins proxy voting services for over 50 percent of public companies and mutual funds globally, and processes on average more than US $5 trillion in fixed income and equity trades per day. Broadridge employs over 14,000 full-time associates in 21 countries. Services Provided Description Retail Banking Data control and process management: Single solution, extensively proven to drive operational efficiency across payments, settlement and all post-trade activities. The solution can reconcile and process exceptions across departmental or enterprise-wide operations, and across all internal and external systems. It offers a truly multi-asset solution that enables a consolidated, unified view for all business lines and functions. Solution covers cash, derivatives, reference data, securities, finance and insurance. Communication and market access: Seamless transaction processing through efficient and reliable connectivity with SWIFT, advanced workflow and message management, and the highest service standards for firms in all regions. • Coverage of all SWIFT services and message types • Seamless integration with back office and ERP systems • Advanced workflow management and control for full lifecycle of transaction • Highly secure, managed service • Real-time reports and statuses Client Reporting Strategic solutions for mandatory trade and transaction reporting: Multi-jurisdiction solutions for all asset classes - Manage the multiple trade reporting and operational processing challenges created by new regulations and market practices across all asset classes, even the most complex OTC derivatives. Increase control and transparency of post-trade flows, reduce exposure to ever-evolving reporting mandates with proven, built-for-purpose reporting platforms covering Dodd-Frank, EMIR, MiFID I and II, SFTR, CAT, IIROC, Canadian and AsiaPac jurisdictions, and Swiss FinfraG MiFID II Ex Post Costs & Charges Disclosure - Our proprietary Ex-Post Costs and Charges solution will aggregate and process investor and product data, calculate personalised ex-post cost information using the reduction-in-yield (RIY) methodology and produce end investor statements. This highly automated, straight through process ensures investment firms meet their regulatory obligation and deliver the ex-post statement to investors ahead of April 2019. Middle Office Data control and process management: Single solution, extensively proven to drive operational efficiency across payments, settlement and all post-trade activities. The solution can reconcile and process exceptions across departmental or enterprise-wide operations, and across all internal and external systems. It offers a truly multi-asset solution that enables a consolidated, unified view for all business lines and functions. Solution covers cash, derivatives, reference data, securities, finance and insurance. Banking and Connectivity Agility for market expansion through seamless connectivity. Accelerate your business growth and offer your clients more market choices through real-time connectivity with trading systems, exchanges, regulators, CCPs, clearing centres, custodians and network providers. Our solutions help you increase operational efficiency on a cost-effective, low-risk basis Global SWIFT Services Reduce costs and risks through our advanced SWIFT network transaction processing and workflow management solution. As a certified SWIFT service bureau, we offer best-practice services backed by our deep expertise in banking and capital markets technology. Connect seamlessly to the SWIFT network, optimise workflows and increase transparency using a best-practice model that improves operational control while lowering risk and cost. Compliance Shareholder Rights Directive: World-class global proxy management solution and blockchain-based shareholder disclosure management service to help banks, custodians, brokers, CSDs and other intermediaries, both retail and institutional, meet their SRD II compliance obligations. - Shareholder disclosure – our new shareholder disclosure service facilitates time-sensitive monitoring, request handling and response filing. - Agenda distribution and voting – our solution supports the distribution of meeting agendas within stricter timeframes, daily votes reconciliation, and “without delay” vote processing - Automated, transparent, end-to-end processing – a configurable, secure and comprehensive proxy voting solution with related services for institutional and retail firms, that handles every step in the proxy management process - Vote confirmation – take advantage of increased efficiency for electronic confirmation of vote receipts and the post-meeting recording and counting of votes. Strategic solutions for mandatory trade and transaction reporting: Multi-jurisdiction solutions for all asset classes - Manage the multiple trade reporting and operational processing challenges created by new regulations and market practices across all asset classes, even the most complex OTC derivatives. Increase control and transparency of post-trade flows, reduce exposure to ever-evolving reporting mandates with proven, built-for-purpose reporting platforms covering Dodd-Frank, EMIR, MiFID I and II, SFTR, CAT, IIROC, Canadian and AsiaPac jurisdictions, and Swiss FinfraG. Data Management Data management, analytics and reporting: Transform your data into actionable information and insight Broadridge’s award-winning data management and visualization solutions consolidate, reconcile, store and deliver information where, when and how it's needed. Fund Management Distribution 360 for Global Funds: Authoritative and comprehensive information can help you pilot your business through the maze of the European and Asia-Pacific distribution opportunities. Broadridge’s Distribution 360 guides are independent, expert reference sources which enable you to identify the most accessible and profitable market opportunities. They deliver trusted, reliable content and data to help you construct evidence-based business cases. Portfolio and order management: Broadridge's Portfolio Master combines order management, portfolio management and risk management in a single application, enabling fund managers to avoid wasting time and resources integrating various tools and instead focus on what they do best: earning returns for clients. Broadridge's multi-asset order and portfolio management solution enables your team to model and execute trades, track portfolios in real-time, and ensure compliance and operations are up to date. Global Market Intelligence: An integrated analytics solution for the asset management market tracking institutional and retail investment products globally. By combining our three unrivalled data sets – FundFile for the global fund marketplace, SalesWatch for the cross-border market and Money in Motion for the global institutional market – Global Market Intelligence delivers an unparalleled view of separate accounts, domestic funds, cross-border funds and ETFs. Institutional Broking Global Post-trade Management: Simplify post-trade processing with a next-generation, unified solution, across multiple asset classes, markets, currencies and business entities. Gain transformative advantages by streamlining your post-trade operations from trade capture through clearance and settlement to books and records. Broadridge’s highly scalable, global multi-asset solution automates the processing lifecycle from trade capture through confirmation, interactive clearing and settlement, and integrated global market connectivity. Solution covers equities, fixed income, exchange-traded derivatives, OTC products, FX & money markets, repo & stock lending, collateral management. Investment Management Portfolio and order management: Broadridge's Portfolio Master combines order management, portfolio management and risk management in a single application, enabling fund managers to avoid wasting time and resources integrating various tools and instead focus on what they do best: earning returns for clients. Broadridge's multi-asset order and portfolio management solution enables your team to model and execute trades, track portfolios in real-time, and ensure compliance and operations are up to date. Global Market Intelligence: An integrated analytics solution for the asset management market tracking institutional and retail investment products globally. By combining our three unrivalled data sets – FundFile for the global fund marketplace, SalesWatch for the cross-border market and Money in Motion for the global institutional market – Global Market Intelligence delivers an unparalleled view of separate accounts, domestic funds, cross-border funds and ETFs. Managed Services Global Post-trade Management: Simplify post-trade processing with a next-generation, unified solution, across multiple asset classes, markets, currencies and business entities. Gain transformative advantages by streamlining your post-trade operations from trade capture through clearance and settlement to books and records. Broadridge’s highly scalable, global multi-asset solution automates the processing lifecycle from trade capture through confirmation, interactive clearing and settlement, and integrated global market connectivity. Solution covers equities, fixed income, exchange-traded derivatives, OTC products, FX & money markets, repo & stock lending, collateral management. Accenture Post Trade Processing - a strategic solution for EMEA and Asia Pacific, combining Accenture's business process outsourcing services and Broadridge's market-relevant, leading technology. Managed services for Reference Data, Reconciliation processing, expense management, compliance and regulatory accounting. Market Data Global Market Intelligence: An integrated analytics solution for the asset management market tracking institutional and retail investment products globally. By combining our three unrivalled data sets – FundFile for the global fund marketplace, SalesWatch for the cross-border market and Money in Motion for the global institutional market – Global Market Intelligence delivers an unparalleled view of separate accounts, domestic funds, cross-border funds and ETFs. Retail Broking Multi-entity, multi-currency and multi-asset brokerage processing: Streamline fixed income, equities and related instruments (e.g. warrants, deposits and loans) in a single real-time solution, supporting every stage of an investment from pre-order management, through trading, settlement and asset servicing. Shareholder Rights Directive: World-class global proxy management solution and blockchain-based shareholder disclosure management service to help retail firms meet their SRD II compliance obligations. Risk & Controls Data control and process management: Single solution, extensively proven to drive operational efficiency across payments, settlement and all post-trade activities. The solution can reconcile and process exceptions across departmental or enterprise-wide operations, and across all internal and external systems. It offers a truly multi-asset solution that enables a consolidated, unified view for all business lines and functions. Solution covers cash, derivatives, reference data, securities, finance and insurance. Wealth Management Multi-entity, multi-currency and multi-asset brokerage processing Streamline fixed income, equities and related instruments (e.g. warrants, deposits and loans) in a single real-time solution, supporting every stage of an investment from pre-order management, through trading, settlement and asset servicing. Shareholder Rights Directive: World-class global proxy management solution and blockchain-based shareholder disclosure management service to help wealth management firms meet their SRD II compliance obligations. Asset Management Portfolio and order management: Broadridge's Portfolio Master combines order management, portfolio management and risk management in a single application, enabling fund managers to avoid wasting time and resources integrating various tools and instead focus on what they do best: earning returns for clients. Broadridge's multi-asset order and portfolio management solution enables your team to model and execute trades, track portfolios in real-time, and ensure compliance and operations are up to date. Data management, analytics and reporting: Transform your data into actionable information and insight Broadridge’s award-winning data management and visualization solutions consolidate, reconcile, store and deliver information where, when and how it's needed. Reference data services: A complete outsourcing service providing accurate pricing data for analysis and compliance, as well as a centralized reference data solution to manage security terms and conditions and corporate actions. Pricing and valuation: Price Master takes data from sources such as Bloomberg, Thomson Reuters, IDC, Markit, web sites, spreadsheets and text files and can be integrated with many accounting systems. Reconciliation: Reduce risk and improve business control and transparency. Take advantage of real-time monitoring and alerts, early detection of anomalies and reduced exposure to inaccurate information while improving operational oversight and transparency across assets. Broadridge, through its FundAssist business, provides specialist support services with an emphasis on Financial Reporting, Key Information Documents (UCITS KIID & PRIIPs KID), Factsheet, Translation, Data Management, Shareholders Services Support as well as Document and Data Dissemination. All services involve data gathering and mapping, automated processing, delivery of web solutions, translation and dissemination of information. Corporate Actions Asset Servicing: A premier end-to-end lifecycle solution for global asset servicing, for all types of dividend, coupon and corporate action (ReOrg) events – from announcement capture and cleansing, through to settlement of entitlements. A comprehensive 24x7 solution: • Automated end-to-end processing for dividends, coupons and mandatory corporate actions. • Optional/voluntary events fully supported with additional control points. • Able to support complex investment bank trading models across multiple business lines and asset classes. · SaaS- and cloud-enabled as part of the Broadridge service model. Solution covers: workflow automation, announcement capture, stock record, notifications, elections, entitlements, accruals and payments, dashboards and reporting. Global and local market proxy outsourcing solutions - Comprehensive and fully automated voting solutions for cross-border and local financial institutions, including: • Agenda sourcing - Sourcing of local market meeting agendas directly from originating source reconciled back to multiple reference points • Ballot distribution, vote collection and execution - Reconciled voting instructions directly executed into local markets, including physical meeting attendance, vote status, disclosure reporting and share registration services • Power of attorney - Management of client power of attorney mandates • Issuer and investor value add services -Ability to offer comprehensive value add solutions, including integrated recommendations and reporting Data Data control and process management: Single solution, extensively proven to drive operational efficiency across payments, settlement and all post-trade activities. The solution can reconcile and process exceptions across departmental or enterprise-wide operations, and across all internal and external systems. It offers a truly multi-asset solution that enables a consolidated, unified view for all business lines and functions. Solution covers cash, derivatives, reference data, securities, finance and insurance. Managed data services: A streamlined way to deliver the highest quality reference data and data management throughout the organisation, Broadridge’s managed data service offers one-stop access to the required data sources through a single, neutral global provider. The service helps firms meet the rising regulatory demands for data consistency, transparency and accuracy while avoiding the high costs and risks of gathering, cleansing and distributing reference data on your own. Built on a governance foundation, Broadridge’s managed data service combines data management with operational expertise. Global Market Intelligence: An integrated analytics solution for the asset management market tracking institutional and retail investment products globally. By combining our three unrivalled data sets – FundFile for the global fund marketplace, SalesWatch for the cross-border market and Money in Motion for the global institutional market – Global Market Intelligence delivers an unparalleled view of separate accounts, domestic funds, cross-border funds and ETFs. Fees or Billing Billing and expense management: A robust and comprehensive platform to support all operating expenses. Our enterprise ready solution enables firms to free up investment dollars by reducing costs, reducing errors, increasing efficiency and operational controls via workflow. • A rules-based calculation engine for accruals, allocations and accounting • STP for fee and expense invoicing, accrual calculations, G/L postings and reversals • Detailed payment tracking with workflow and multi-level approvals • Industry-wide utility for billing and expense management based on best practices • Tracks and calculates complex transaction and operating expenses • Vendor rate and fee comparison reporting for more effective contract negotiations • Reconciliation of fees at a transaction and event level. Portfolio Management A single platform for portfolio, order and risk management: Broadridge's Portfolio Master combines order management, portfolio management and risk management in a single application, enabling fund managers to avoid wasting time and resources integrating various tools and instead focus on what they do best: earning returns for clients. Broadridge's multi-asset order and portfolio management solution enables your team to model and execute trades, track portfolios in real-time, and ensure compliance and operations are up to date. Last Updated: 12/05/2023
Calastone Investment Funds Services Treasury Management SITC Company Award	Company Name Calastone Senior Executive Contact Julien Hammerson, CEO Sales Contact Andrew Tomlinson marketing@calastone.com Employees: 200 Turnover: £48M Address: Birchin Court, 20 Birchin Lane, London Post Code: EC3V 9DU Phone No: +44 (0) 20 3700 4100 General Description of Company Calastone is the largest global funds network, connecting the world’s leading financial organisations. Our mission is to help the funds industry transform by creating innovative new ways to automate and digitalise the global investment funds marketplace, reducing frictional costs and lowering operational risk to the benefit of all. Through this, we make investing more accessible, generating the opportunity for the industry to deliver greater value for the investor. Over 3,000 clients in 52 countries and territories benefit from Calastone’s services, processing £250 billion of investment value each month. Calastone is headquartered in London and has offices in Luxembourg, Hong Kong, Taipei, Singapore, New York, Milan and Sydney. Services Provided Description Investment Funds Services Calastone’s Money Market Services (MMS) helps companies, public sector organisations and financial institutions balance their security, liquidity and yield objectives when investing surplus cash. We are transforming the way the liquidity markets work. We are directly connecting liquidity fund managers to their investors, using a fully automated trade process that includes integrated reporting and settlements. This eliminates the risk inherent in manual processing at every stage of the chain and potentially reduces the cost of the asset class. Treasury Management Calastone Money Market Services (MMS) digitalises the liquidity investment process so that companies, public sector organisations and financial institutions can more easily balance their security, liquidity and yield objectives when investing surplus cash in short term assets. It also enables fund providers and portals to differentiate their offering and grow assets under management by delivering automated trade, settlement, reporting and sweeps solutions. Last Updated: 12/07/2022
Calypso Technology Investment Management Investment Banking Central Banking Risk Management	Company Name Calypso Technology Senior Executive Contact Didier Bouillard Sales Contact John Murray http://www2.calypso.com/contact-calypso Solutions Most Suitable For Investment Managers, Risk Managers, Asset Managers Employees: 880 Turnover: $ 220M Address: One New Change, Level 6, London Post Code: EC4M 9AF Phone No: +44 (0) 20 3743 1000 General Description of Company Calypso is a provider of front-to-back technology solutions for the financial markets. With over 20 years of experience delivering cross-asset solutions for trading, processing, risk management and accounting, we are able to focus our significant resources on customer problems, bringing simplicity to the most complex business and technology issues. The constant pressures for better allocation of capital and improved risk management, matched by an ever changing regulatory landscape in the financial markets demand technology solutions that are reliable, adaptable and scalable. In response Calypso provides customers with a single platform designed from the outset to enable consolidation innovation and growth. Services Provided Description Investment Management Capital Markets: The rapidly changing regulatory and technology landscape is transforming financial markets. Adapting to these new market conditions is vital. Dodd Frank and EMIR are the new realities with electronic trading, mandatory clearing and trade reporting significantly affecting derivatives operations and workflow. Investment Banking Investment Management: Our investment management solution integrates seamlessly with our multi asset trading and collateral management platform. Calypso is recognized as the industry leader in front to back trade processing technology for both derivatives and cash instruments. And our award winning collateral optimization solution provides a single data repository for real time views of all available and pledged securities, as well as all existing margin calls. Central Banking Central Banking : Calypso offers the most complete modern central banking solution available. Central banks, monetary authorities and government investment corporations can now attain a comprehensive solution to conduct market activities, manage reserves and investments, and control risksall on a single automated platform. Risk Management Risk Management: Calypso Risk provides a unified market and credit risk infrastructure across all asset classes. Calypsos analytics support all the latest regulatory calculations, including the standard and advanced approaches for both counterparty credit risk and market risk. Last Updated: 12/05/2023
Cashfac Plc	Company Name Cashfac Plc Employees: Turnover: Address: 50 Mark Lane, London Post Code: EC3R 7QR Phone No: 02079200617 General Description of Company Virtual accounts and cash management software - a global fintech specialising in operational cash management, including the world’s most deployed virtual accounts solution. Delivered both through our bank partners and direct-to-customer, we help hundreds of organisations improve the productivity, visibility, automation and regulatory compliance of their cash management operations. Services Provided Description Last Updated: 11/04/2022
Clearstream Capital Gains Tax Custody Client Reporting Corporate Actions Investment Funds Services Securities Settlement SITC Company Award SITC Individual Award	Company Name Clearstream Senior Executive Contact Philip Brown, CEO Sales Contact Steve Polese steven.polese@clearstream.com Solutions Most Suitable For Investment Managers, Wealth Managers Employees: 2378 Turnover: € 887 million Address: 1 Westferry Circus, Canary Wharf, London Post Code: E14 4HE Phone No: +44 (0) 20 7862 7000 General Description of Company Clearstream is a leading European supplier of post-trading services. The wholly owned subsidiary of Deutsche Borse ensures that cash and securities are promptly and effectively delivered between trading parties. It also manages, safekeeps and administers the securities that it holds on behalf of its customers. Over 300,000 domestic and internationally traded bonds, equities and investment funds are currently deposited with Clearstream. Services Provided Description Capital Gains Tax Clearstream operates in 57 (58 as off 19 November) domestic markets around the globe. Market practice regarding Capital Gains Tax varies from market to market. Information is provided in the comprehensive Market Taxation Guides published on a per market basis in the market coverage section of our website. Custody As an International Central Securities Depository (ICSD), Clearstream has been offering global custodial and settlement services with ICSDs and domestic counterparties for over 45 years. In addition to its role as primary location for the deposit and settlement of Eurobonds it provides network coverage of 58 domestic markets focused on the European markets and major global government debt markets. Clearstream is an integral part of the European financial services infrastructure and one of two leading ICSDs. Its core services offered include settlement and custody all within a highly automated book entry environment. Client Reporting Customers can already choose from the range of reports available via the connectivity channels of the ClearstreamXact suite and CreationOnline. Corporate Actions Clearstream's custody engine is supported by an extensive instrument database which provides customers with advance information about corporate action and income notifications. Investment Funds Services Investment Funds Services (IFS) provides Clearstream's services across all fund types, from mutual funds to exchange traded funds (ETFs) and alternative funds. Promoted through Clearstream Banking Luxembourg (CBL), Clearstream Banking Frankfurt (CBF) or LuxCSD, these investment fund services are grouped under a suite branded Vestima. Securities Settlement Clearstream offers a wide range of comprehensive Clearing and settlement services that are delivered from a sophisticated processing platform called Creation Platform. The Creation Platform provides a central point of access to a wide variety of markets, offering fully automated real time and End of day processing, enabling access to real time communication with a global network of Cash Correspondent and Depository banks. Last Updated: 08/04/2022
Clifford Chance Applied Solutions Compliance Treasury Management Legal	Company Name Clifford Chance Applied Solutions Senior Executive Contact Jeroen Plink Sales Contact Jennifer Paybody jennifer.paybody@cliffordchance.com Solutions Most Suitable For Legal, compliance, treasury and HR teams. Global solutions. Employees: Turnover: Address: 10 Upper Bank Street, London Post Code: E14 5JJ Phone No: +44 (0) 20 7006 3227 General Description of Company Clifford Chance Applied Solutions (CCAS) is the wholly owned technology subsidiary of Clifford Chance LLP. CCAS creates digital solutions designed to provide efficient, consistent and high-quality outcomes to large-scale client challenges. The solutions have global and cross-sector applicability. As the legal and regulatory landscape continues to evolve, CCAS aims to respond to these changing business requirements through technology. We combine best in class software with legal expertise from Clifford Chance LLP to build solutions for in-house legal, treasury, compliance, HR and other business teams. Services Provided Description Compliance SMCR Manager is an interactive digital tool which combines our legal expertise and an innovative workflow process to guide users through the application of the Senior Managers and Certification Regime (SMCR). Following implementation, SMCR Manager also provides ongoing support to ensure you remain compliant. Treasury Management Continuing Obligations Tracker: Debt Securities is an interactive digital tool that assists customers in complying with their continuing obligations for listed debt securities in a range of jurisdictions. It has been designed with legal and business teams in mind and provides concise and practical guidance, with links to specific regulatory and stock exchange rules. Legal CC Dr@ft is a document automation assembly system and service which allows clients to quickly and independently generate tailor-made and house styled documents from their desktop. Last Updated: 25/11/2019
Contemi Solutions Ltd Asset Management Capital Gains Tax Clearing Service Model A Clearing Service Model B Client Reporting Corporate Actions Data Fees or Billing Middle Office Portfolio Management Private Banking Securities Settlement SITC Company Award SITC Individual Award	Company Name Contemi Solutions Ltd Senior Executive Contact Kean Williams Sales Contact William Rouse william.rouse@contemi.com Solutions Most Suitable For Wealth Managers, Asset Managers, Private Banks, Family Offices Employees: Turnover: Address: 86-92 Regent Road, Leicester Post Code: LE1 7DD Phone No: +44 (0) 116 233 5050 General Description of Company With over three decades of experience in building creative software solutions for wealth management; post-trade processing; FATCA, CRS, and other tax compliances; mutual fund distribution and governance, risk and compliance, Contemi has delivered software solutions to some of the world's largest financial institutions and understands the needs of customers and build customized solutions to address their specific requirements. Our integrated front to back office software solutions are designed to meet the specific needs of investment banking, retail and commercial banking, institutional trading, private client wealth management and stockbroking. With a presence in 12 cities across 9 countries, we have grown into a leading global financial technology solutions provider. We have over 40 clients in 9 countries supported by a worldwide staff of 250, including more than 150 in product development. We work closely with our clients to ensure they have the solutions they need to support their business now and secure it for the future. Whether it is workflow, architecture or hosted solutions, we have a flexible, responsive and collaborative approach that takes the pain out of financial services software. No fuss, no drama: just a commitment to adding maximum business value through technology. Services Provided Description Asset Management Contemi’s WIN family of standalone or fully integrated modules provide asset managers with the necessary tools to effectively manage assets. The investment book of record maintains and gives visibility of intraday positions, whilst facilitating real time valuation performance benchmark reporting and the processing of corporate actions. A sophisticated multi-tiered, strategic asset allocation, modelling and rebalancing capability allows composition to be effectively managed and ensuring compliance to a funds mandate. Flexible process management tools can be used to automate cash inflows, redemptions, order placement and settlement, allocations and confirmation processing. Automated messaging and smart routing provide a true multi broker venue, multi custodian, administrator capability. And finally the WIN Reporting module takes the heavy lifting out of regulatory and market reporting. All WIN modules can be deployed as a hosted, managed service or deployed on premise. Capital Gains Tax Contemi’s WIN CGT module is a jurisdiction agnostic engine for calculating capital gains tax obligations and corporation tax on chargeable gain. The engine is rules based and therefore can easily be adapted to existing or new requirements or calculation methodologies. These could include rules based on time duration tiers, FIFO LIFO, gross or net of fees, netted obligations and capital loss carried forward or back, for example. What if analysis provides visibility of CGT implications, allowing investment managers to optimise their investment decisions. Holdings can be flagged as CGT constrained, triggering warning on disposal if gains are above predefined thresholds. Warnings are also available on matched instruments traded 30 days forward. The module additionally provides a comprehensive and flexible reporting capability including disposal reports, CGT summaries and CGT holding reports. The WIN CTG module can be deployed as a fully hosted, managed service or on premise. Clearing Service Model A Clearing Service Model A has not yet been identified as a customer requirement but would be possible due to the flexible nature of the order processing engine. Clearing Service Model B Contemi’s WIN family of modules support Clearing Service Model B by facilitating transaction reporting on behalf of multiple correspondent firms. The WIN Investment Manager Portal and Client Portal can be branded or white labelled with the correspondents branding. Additionally, client statements and valuations can be branded or white labelled, and tailored to different correspondent firm’s requirements. The system supports a broad array of charging structures allowing each correspondents commissions and management fees to be defined. Administrative functions can be performed at the clearing firm level or at a correspondent level as required. Client Reporting Contemi’s WIN family of standalone or fully integrated modules provide a rich client experience, allowing clients to access their data and portfolio reporting at any time, in any place, and on any device. WIN Client Portal provides web based dashboards for the publishing of intraday or daily holdings, cash and instrument transactions, valuations and performance reports. The portal can be branded to a single institution or provide the multiple branding required when white labelling to multiple intermediaries. Additionally, clients are able to amend reorganise the portal layout to suit their preferences, providing a personalised form for data consumption. The client can access documents reports pushed to them through the document management system. This creates a valuable marketing channel in addition to facilitating the distribution of periodic ad hoc reports and notifications. Client self-service is also available; from the uploading of documents to facilitate on boarding, to instructing instrument transactions or cash redemptions. WIN Reporting provides a single source of clean, accurate, systemic and efficient data structured into professional, branded reports for both client and internal use. The content and design of reports can be configured at the client or group of client level, allowing differences between discretionary and advisor clients for example, in addition to white labelled for intermediaries. Reports can be created on an ad hoc, any date duration (including historic) basis or as a mass orchestrated production run of client packs. Reports can be automatically distributed to clients via their preferred communication channel or published to the Client Portal. Both the WIN Client Portal and Reporting modules can be deployed as a fully hosted, managed service or on premise. Corporate Actions Contemi’s WIN Corporate Actions module provides all the functions needed to automate the processing of corporate actions, reducing risk, increasing efficiency and driving down costs. It can be deployed as standalone or fully integrated within the Wealth Intelligence platform either as a hosted, managed service or on premise. It automates the receipt of single or multiple notifications and the creation of a master copy. An event type dependant workflow can be initiated, ensuring that all timelines and actions are monitored and managed. Automated alerts, reminders and escalations ensure events are completed in a timely manner. Notifications are automatically sent to affected clients, or internally to interested parties. Additionally, affected holdings are flagged providing visibility to investment managers. Election events are managed from market notification, through to client communication, the receipt of instructions, until final collated reporting to custodians. Entitlements are processed per holding and compared adjusted for rounding against the custodians pooled notification. All necessary cash and stock transactions are generated and past to the book of records. Data Contemi’s WIN family of functional modules allows the easy acquisition, storage and visibility of data of all types, from any source (internal, external applications and third party sources including data venders, custodians etc.). Additional functionality provides oversight of all data, ensuring that it is correct (contextual validation, outlier identification, or reconciled against a third source); that it is complete (identifying missing data); and that it correctly validated. Interfacing is facilitated by a modular architecture, and extensive library of data connectors and APIs. Fees or Billing Contemi’s WIN Fees & Invoicing is a standalone or fully integrated fee calculation module. It provides a highly flexible and automated framework to support the calculation and charging of any fee type or structure. Full automation removes manual processing and allows periodic billing to be generated for review at the touch of a button. Fees can be calculated using all types of fees scales from tiered bases to fixed value, offset against commission and safe custody. There is flexible control over how and when fees are applied including using a frequency; a diary date function; debiting fees from accounts different to which they were calculated; and applying fees to a client grouping. The module can be deployed as a fully hosted, managed service or on premise. Middle Office Contemi’s WIN Trading & Order Management module simplifies the implementation of investment decisions. Orders are captured, bulked where appropriate, enriched with charges and smart order routing can automatically pass orders to brokers, venues or internal dealing desks for execution. A comprehensive suite of pre and post compliance tools ensure that all transactions are vetted against client specific, soft and hard investment restrictions and accounts are monitored for drift against risk mandates. WIN Trading and Order Management is available as a standalone or as part of a fully integrated, front to back solution. It can be deployed over the web as a hosted, managed service or implemented on premise. Portfolio Management Contemi’s WIN Investment Manager is a standalone or fully integrated module providing the necessary tool to effectively and efficiently manage portfolios. Portfolio investment managers are able to view portfolio contents, valuations, P&L, performance, or performance compared to a benchmark in real time. Flexible portfolio modelling rebalancing tools and future cash optimisation facilitate efficient decision making and implementation, whilst pre post trade compliance ensures that portfolios remain within their mandates. Comprehensive, branded client and regulatory reporting can be initiated ad hoc or as a scheduled process. External and internal report distribution can be automated via preferred digital channels or a portal. Private Banking Contemi’s WIN family of standalone or fully integrated modules provide the full functionality needed to support private banking front, middle and back office operations within discretionary, advisory and execution only service models. It can be deployed as a hosted managed service or on premise. The functionality provides the relationship manager with a full 360 view of his clients, the real time value performance of their investments and cash forecasting through a web based portal, allowing access any time, any place and on any device. This is supplemented with a branded client portal providing portfolio reporting, in addition to a marketing communication channel for the bank. High quality, branded reports can be generated ad hoc or as a periodic, fully distributed process. The portfolio manager is supported with highly flexible portfolio modelling functions, decision support tools and valuation performance benchmarking reports. Pre and post trade compliance ensure that portfolio The back office is provided with the ability to automate the bulking, placing, settling and allocating of order to one or multiple brokers, venues and custodians, in addition to the full management of corporate actions. Securities Settlement Contemi’s WIN Asset Administration module provides a comprehensive suite of back office functions covering the entire transaction, settlement and custody processes. It facilitates the real time visibility of transactions from order, through execution, to settlement, and provides the automated messaging, smart routing and reconciliation necessary to manage the entire transaction lifecycle in a truly multi broker venue, multi custodian framework. Last Updated: 08/04/2022
CREALOGIX Client Reporting Portfolio Management Private Banking Retail Banking Digital Banking Wealth Management SITC Company Award SITC Individual Award	Company Name CREALOGIX Senior Executive Contact John Ennis, Manging Director for Northern Europe Sales Contact Jamie Whatley, Director - Sales and Account Management contact-uk@crealogix.com Solutions Most Suitable For Wealth Management; Retail Banking, including Private Banks; Business Banking. CREALOGIX is a pure-play digital banking engagement platform vendor, i.e. specialising in the system of engagement as a layer above core/back-office system of record. CREALOGIX software is compatible with all major back-office systems and CRMs. In wealth management the system of engagement includes key areas such as: self-service, onboarding, front-office, client fact find, guided passive investing (robo-advisory), relationship manager dashboard, XO trading, mobile apps. Employees: 700 Turnover: CHF 101.9 million (worldwide) Address: Staple House, Staple Gardens, Winchester Hampshire Post Code: SO23 8SR Phone No: +44 (0) 1962 841 494 General Description of Company Swiss multinational banking software provider CREALOGIX works with leading global banks and wealth management firms, empowering them to provide the best digital experience to their end customers. The ability to deliver innovative, secure, and well-designed solutions more quickly helps financial brands increase customer satisfaction and attract new growth through digital channels. Services Provided Description Client Reporting CREALOGIX Financial Advisory Workbench, incorporating RM Dashboard, is fully digital solution for delivering highly personalised relationship management approach in wealth management and specialist banking. With well designed visual interfaces optimised for mobile and tablet, advisors can take a completely paperless approach to remote or face to face key customer care. All regular tasks are covered including client profile overview, planning and structuring of client meetings, record keeping and documentation around advice and decisions, and ongoing account monitoring and health checks. Portfolio Management Incorporating over 20 years of experience and expertise, CREALOGIX Invest is a fast to deploy, highly customisable front end portal for clients of wealth management, stockbroking, and investment services firms. We enable financial institutions to rapidly roll out a new, higher quality online and mobile user experience for demanding digital investors. Invest Wealth is our recommended package of most commonly chosen modules, with optional packages Invest Trader and Invest Advisory. We make it easy for well established wealth management firms to deploy and scale out new, digital first investment offerings. Private Banking CREALOGIX Private Banking Hub is a solution that enables specialist banks to deliver a high quality omnichannel digital user experience to their high net worth account holders. /n /n Thanks to the modular and API driven approach in our solutions, any Private Banking Hub deployment can integrate features from CREALOGIX Invest, Financial Advisory Workbench & Digital Banking Hub modules in order to provide a full service banking and investment advisory offering. Retail Banking CREALOGIX Digital Banking Hub is our market leading solution for a secure, versatile, and fast to deploy digital banking front end, which can bring together different underlying systems and extend the lifetime of legacy back office systems by liberating data via APIs. Digital Banking Wealth Management Last Updated: 21/04/2022
Cygnetise Limited	Company Name Cygnetise Limited Employees: Turnover: Address: 4th Floor, 21 Godliman Street, London Post Code: EC4V 5BD Phone No: 02035983808 General Description of Company Cygnetise is industry agnostic and offers benefits to a range of different professionals regardless of how they utilise the platform. Services Provided Description Last Updated: 11/04/2022
Datactics Data Management Compliance SITC Company Award	Company Name Datactics Senior Executive Contact Stuart Harvey, CEO Sales Contact Kieran Seaward Kieran.Seaward@datactics.com Solutions Most Suitable For Chief Data Officers, Chief Technology Officers, Chief Risk Officers, Chief Finance Officers at wealth management / asset management firms seeking to gain control of their data quality. Employees: 48 Turnover: £1.5m (2018) Address: One Lanyon Quay, Belfast Post Code: BT1 3LG Phone No: 02890 233900 General Description of Company Datactics is a Belfast-based self-service data quality platform provider, helping global firms across the financial services industry to get value from their data, and reduce the risk of being fined or sanctioned by regulators. \n\n Many firms are moving responsibility for data from IT onto the business users who actually use the data, yet very often they are not equipped with the tools to match their skillset and extract value and insights from the data. Datactics’ self-service platform requires no programming or coding skill, with easy integration to a wide array of data sources and intelligent automation built-in. \n\n The platform also allows senior stakeholders such as Chief Data Officers, Chief Risk Officers and Chief Finance Officers to measure and report on their data quality, to match data across multiple sources and systems to generate a "Single Customer View," and to remediate and fix that data. Additionally, using AI, the platform can reduce manual effort required to make decisions or remediate data with full transparency and explainability. Services Provided Description Example Customers Data Management Datactics Self Service Data Quality eliminates the roadblocks that exist between the business and technical / IT teams for data quality rule building, easy deployment, and rapid data remediation. Firms using Datactics software have reinvented their data quality management approach across single or multiple data sources, feeds or lakes, federating their data quality improvement out to the lines of business with full audit trail and reporting via fine-detail dashboards in off-the-shelf visualisation tools, such as Qlik, PowerBI and Tableau. Software is configurable for cloud or on-premise deployments and features built-in user access control configured for wealth management clients through integration with Active Directory. Tier 1 Wealth Manager; Tier 1 Investment Banks Compliance Datactics’ RegMetrics module provides rules built to regulatory requirements for a wide range of financial regulations including the Prudential Regulatory Authority’s Financial Services Compensation Scheme (FSCS); the legal entity requirements under MiFID II and the EU’s Fifth Anti-Money Laundering Directive (AMLDV); data management rules in BCBS239; reporting under AnaCredit and data-driven aspects of IFRS9. The customisable rules platform ensures that rules for regulations can be kept up to date and more added as required, and a clear understanding of the health of data as it pertains to regulations can be gained from the dashboards provided as part of the solution. Danske Bank; Bank of Ireland UK Last Updated: 08/04/2022
Delta Financial Systems Limited Pensions Administration SITC Company Award	Company Name Delta Financial Systems Limited Senior Executive Contact Billy Chalk, Managing Director Sales Contact James Slevin james.slevin@deltafs.co.uk Solutions Most Suitable For SIPP & SSAS providers Pension providers seeking full drawdown options and pension payroll functionality Employees: 93 Turnover: Address: 45 Church Street, Birmingham Post Code: B3 2RT Phone No: 0845 6800 142 General Description of Company The UK’s leading pension providers use Delta’s Platinum SIPP~Pro and SSAS~Pro technology to underpin their businesses. With a track record of over 25 years of delivering broad and deep complex pensions functionality, Delta ensures that clients can meet their regulatory obligations and deliver good customer outcomes. Proud to be based in Birmingham, at the heart of a thriving FinTech community, Delta is a Microsoft Gold Partner and has been recognised by a range of industry awards. Services Provided Description Example Customers Pensions Administration Services Provided Platinum Ecosystem The fully cloud hosted Platinum ecosystem is made up of integrated components, designed from the ground up to facilitate high quality SIPP and SSAS administration, meaning that clients can meet all their regulatory obligations. At the heart of the Platinum ecosystem is SIPP~Pro and SSAS~Pro, available as standalone applications or combined. Core functionality is delivered via intuitive and structured processes to simplify and de-risk tasks, providing everything needed to administer schemes, members, assets and benefits and automate HMRC/FCA reporting. Platinum has a full suite of public APIs, which enable seamless integration with other applications, meaning clients can use straight through processing to align their target operating model and feed data from/to their other in-house business critical systems. The Report~Pro enterprise reporting server sits alongside SIPP~Pro and SSAS~Pro, enabling the creation of bespoke dashboards, reports, standard letters and outputs using live data via the Platinum APIs. iFreedom, the digital companion application within the Platinum ecosystem, provides members and their advisers real time access to detailed encrypted data. It is available for mobile, tablet and laptop use with a modern, responsive and accessible design. Consultancy Services The depth of our team’s domain knowledge sets us apart, with hundreds of collective years’ experience working for SIPP and SSAS providers. We have done what our clients do and speak their language. Our Professional Services Team delivers a range of services, from design and implementation of target operating models, implementation of the Platinum ecosystem, data analysis and cleansing, bespoke training and project support. HSBC; Embark; James Hay; Legal & General Last Updated: 13/06/2023
Dow Jones Business News Risk Management	Company Name Dow Jones Senior Executive Contact WILLIAM LEWIS Sales Contact KRISTIN HEITMANN kristin.heitmann@dowjones.com Solutions Most Suitable For Investors Employees: 4434 Turnover: $1.5 billion USD Address: 1 London Bridge St, , London Post Code: SE1 9GF Phone No: 00 8000 322 8482 General Description of Company When you join Dow Jones, you become part of the most dynamic, creative and savvy news and information companies in the world. As a global leader in news and business intelligence, we're newswires, websites, newspapers, apps, newsletters, databases, magazines, and video --including some of the widest-read and most-respected brands, like The Wall Street Journal, Factiva, Barrons, MarketWatch, Financial News, DJX, Dow Jones Risk & Compliance, Dow Jones Newswires, and Dow Jones VentureSource. Our products inform the discussions and decisions that are vital to the world's commerce, while our databases make the business world more transparent. We continually develop technology to transform information into insight and prosperity. We enlighten and inspire audiences around the globe with authoritative, differentiated and trusted content. Services Provided Description Business News MarketWatch: MarketWatch is a leader in financial news and market data, blending breaking headlines with incisive analysis, market updates, streamlining tools and bold reporting from trusted sources to help guide lifes most important monetary decisions for individuals and financial professionals. Customers benefit from tools and features such as Watchlist, Portfolio and the Virtual Stock Exchange game, plus subscription based premium content. Including the Hulbert Financial Digest suite of products, Retirement Weekly and ETF Trader. MarketWatch delivers hundreds of headlines reported every day by a network of preeminent journalists in New York, San Francisco, London, Hong Kong and elsewhere around the globe. Risk Management Risk & Compliance: Dow Jones Risk & Compliance is a global provider of third party risk management and regulatory compliance solutions. Working with clients across the globe, we have created products and services to help companies evaluate third party risks faster and with more confidence. We deliver research tools and outsourced services for on boarding, vetting and investigation to help companies comply with anti money laundering, anti bribery, corruption and economic sanctions regulation in mitigating third party risk. With a global team of expert researchers, flexible delivery options and enriched third party risk data, our suite of compliance solutions empower compliance professionals to quickly and efficiently reduce risks while conserving limited resources. Last Updated: 12/05/2023
DTCC Clearing Service Model A Data Securities Settlement Corporate Actions Custody Risk Management Middle Office Compliance Client Reporting	Company Name DTCC Senior Executive Contact Michael C. Bodson Sales Contact Nick Larrieu nlarrieu@dtcc.com Employees: 4,300 Turnover: $292M Address: One Snowden Street, Broadgate Quarter 7th Floor, London Post Code: EC2A 2DQ Phone No: +44 (0) 20 7650 1450 General Description of Company With over 45 years of experience, DTCC is the premier post-trade market infrastructure for the global financial services industry. From 21 locations around the world, DTCC, through its subsidiaries, automates, centralizes and standardizes the processing of financial transactions, mitigating risk, increasing transparency and driving efficiency for thousands of broker/dealers, custodian banks and asset managers. Industry owned and governed, the firm simplifies the complexities of clearing, settlement, asset servicing, data management, data reporting and information services across asset classes, bringing increased security and soundness to financial markets. In 2021, DTCC’s subsidiaries processed securities transactions valued at nearly U.S. $2.4 quadrillion. Its depository provides custody and asset servicing for securities issues from 177 countries and territories valued at U.S. $87.1 trillion. DTCC’s Global Trade Repository service, through locally registered, licensed, or approved trade repositories, processes 16 billion messages annually. Services Provided Description Clearing Service Model A DTCCs National Securities Clearing Corporation (NSCC) clears and settles virtually all broker to broker equity, corporate and municipal bond and unit investment trust (UIT) transactions in the U.S. markets, advancing new initiatives and driving development of products and services that mitigate risk, reduce costs and enhance processing efficiencies for market participants. Data DTCC Data Services offers referential and activity based data, delivered in fixed or configurable formats, sourced from DTCCs transaction, reference, position and asset servicing data covering all major asset classes. As the premier post trade market infrastructure for the global financial services industry, DTCC simplifies the complexities of data management across transaction types and asset classes, increasing transparency, mitigating risk and driving efficiencies for financial firms. Securities Settlement Corporate Actions Custody Risk Management Middle Office Compliance Client Reporting Last Updated: 27/07/2022
Dynamo Asset Management	Company Name Dynamo Senior Executive Contact Hank Boughner, CEO Sales Contact Arie Oustinoff arie@dynamosoftware.com Solutions Most Suitable For Fund Managers Employees: 136 Turnover: $6.4m Address: Moor Place, 1 Fore Street, London Post Code: EC2Y 5EJ Phone No: +44 (0) 20 7193 3244 General Description of Company Dynamo Software, formerly Netage Solutions, has provided premium industry-specific, configurable asset management and reporting software for the alternative assets industry since 1998, including private equity and venture capital funds, real estate investment firms, hedge funds, funds of funds, prime brokers, foundations, endowments, pension funds, and family offices. Intuitive and highly configurable, the Dynamo? platform has improved the productivity of fundraising, deal, research, investor relationship, and portfolio management teams worldwide. Services Provided Description Asset Management Dynamos Fund of Funds Software Solutions incorporates Compliance, Fund Management, Data Integration and Analysis, Fund Raising and Marketing, Performance Tracking, Due Diligence, Investor Relations and Research Management. Last Updated: 29/11/2018
ERI Banking Software Ltd Asset Management Portfolio Management Private Banking Digital Banking Securities Settlement Retail Banking Middle Office Client Reporting Fees or Billing Corporate Actions Capital Gains Tax SITC Company Award SITC Individual Award	Company Name ERI Banking Software Ltd Senior Executive Contact Benoît Jacquat Sales Contact Adam Kasraoui adam.kasraoui@ldn-eri.co.uk Solutions Most Suitable For Private Banks, Assset Managers Employees: 400 Turnover: Address: 75 King William Street, , London Post Code: EC4N 7BE Phone No: +44 (0) 203 457 9888 General Description of Company OLYMPIC Banking System is one of the most complete and advanced solutions able to support all aspects of a modern and sophisticated private bank. Based on a fully integrated, real-time and front-to-back browser architecture, OLYMPIC Banking System covers all the needs of private banks and asset management companies, regardless of the markets in which they operate. OLYMPIC Banking System comes with a pre-configured bank model that includes a predefined set of products and business processes, allowing for accelerated implementation at competitive costs. Services Provided Description Asset Management The OLYMPIC Banking System includes a wide range of integrated processes to assist in the management of client assets, therefore providing its users with a single view of the truth for client portfolios and activity. OLYMPIC provides a complete set of decision making, transaction processing and control tools to support domestic and international business activities.Some of the main features relevant to asset management include the following:Navigation and inquiryAsset allocation and modellingPortfolio managementInvestment controlsClient reporting Portfolio Management OLYMPIC offers a dedicated front office module for Portfolio Managers can perform all decisional and transactional activities in an intuitive environment. As this module is a fully integrated component of OLYMPIC, Portfolio Managers benefit from all the other operational and decisional capabilities, thus affording genuine integrated straight through processing in real time. Portfolio Managers have functionally rich capabilities for leveraging the institutions strategies and client transactions in OLYMPIC. All the tools necessary to easily increase their productivity are available:• Inquiries and analysis on clients, portfolios and instruments through user definable selection• Definition of strategies in multiple dimensions• Strategy validation and simulation of impact• Portfolio rebalancing and automatic order generation• Order blotterBook management• Bulk order input and monitoring• Valuation, analysis and reporting• Performance calculations for any given period (Money and True time weighted return)OLYMPIC allows for easy asset allocation definition and modelling (asset class, currency, economic sector, geography) that can be used to create portfolio strategiesmodels tailored to each customer segment. The various axes can be defined via parameters and are based on the product characteristics within the product master files. Targets can be defined at all levels and can also be associated with min max ranges to allow for deviation tolerance. OLYMPIC asset allocation definition and modelling allows portfolios to be linked to a strategy and or to a management profile andor management objectives. All asset allocations changes are stored, together with the related portfolios links. In doing so, the OLYMPIC solution complies with the CFA GIPS standards, guaranteeing a reliable audit trail. This enables retroactive control of whether a portfolio was aligned with a specific strategy at any date and what that strategy contained. Private Banking OLYMPIC is a browser based, fully integrated, online, front to back, parameter driven, Private Banking and Wealth Management solution. OLYMPIC offers a front office platform combining portfolio management, advisory, risk management and client reporting through a browser based access. This solution is designed to support wealth management and private banking, take care of discretionary portfolios, and provide investment advisory. The portfolio manager can view order status as well as positions and valuations updated in real time. Digital Banking DIGITAL BANKINGOLYMPIC is fully web enabled, providing a solution which integrates client oriented internet based functionality with a live production system in a seamless architecture. Web services from ERI offer organisations the capability to quickly integrate e banking services in an existing or newly created website.With OLYMPIC Mobile, wealth managers and clients have access to online services from a mobile device.It enables clients and Relationship ManagersAdvisors to access a full range of data concerning their accounts and also use enquiry and payment services in an entirely secure environment that ensures complete confidentiality.The interface has a set of user friendly functions for clients to carry out activities such as:• accessing account information, checking balances and latest account movements• accessing security portfolio information and checking positions and movements• accessing information on total assets and performances and checking data by asset class, sector or currency in a table or interactive graph• making payments or placing stock exchange orders• remaining in contact at all times with their asset managers via a secured mailbox• receiving electronic documents from their asset managers Securities Settlement OLYMPIC is an integrated, real time, interactive and modular banking software package that offers complete functional coverage to financial institutions. The system is comprised of a central core and functional modules. The extensive parametric system allows each bank to customize the system to meet its specific requirements.These parameters can be modified to reflect each institutions products, internal procedures and organizational structure from single input, over four eyes principle, to a definable chain of users prior to booking and trade settlement, as well as the generation of all messages and advises to relevant parties.OLYMPIC provides fully integrated functions in order to manage brokerage services. These includes complete set of decision making, transaction processing and control tools to facilitate order management, trade settlement, securities position keeping, delivery monitoring, fees management and general ledger posting. Retail Banking OLYMPIC is an integrated, real time, interactive and modular banking software package that offers complete functional coverage to financial institutions.The system is comprised of a central core and functional modules. The extensive parametric system allows each bank to 'customize' the system to meet its specific requirements. • Management tools (Enquiry System, order management, position analysis etc.) • Core data management (Parametric tables and formats, client services, securities data, etc.) • Accounting (Accounts closing, interest scales, reconciliations, etc.) • Money transfers (Transfers and account operations, standing orders, multiple transfers, etc.) • Treasury (Time depositsloans, settlements, cash management, etc.) • Foreign Exchange (FX transactions, rates, positions, etc.) • Credit (Credit limit and overdraft control, debtor control, debtor analysis, etc.) • Safe Deposits Boxes (Management) • Telecommunications (Interfaces, incoming, outgoing) • Mutual Funds and Companies (Management) • International (Legal and local reporting) Middle Office OLYMPIC Banking System provides extensive coverage of Middle office functions:• OLYMPIC offers embedded workflows, with which the user can parameterise all steps and employ makerchecker validation points where required.• OLYMPIC offers multiple modules and control functions which allows the financial institution to define and impose management compliance checks and limits. Clients may be categorised by risk profile, transactions may have imposed limits, and investments may be controlled based on limit and compliance parameters as defined by the financial institution. Specific compliance checks may be applied on single clients, a defined group of clients or on all clients known to the system.• Alerts and constraints may be established prior to validating transactions (a priori). OLYMPIC provides functionality and modules which respond to KYC, AML, Basel II and MiFID requirements.• All pending orders and client restrictions are scanned automatically and taken into account during the order generation process. The orders that violate any investment constraints are clearly identified with a description of the reason. Non mandatory constraints need to be manually approved (which is documented in a full audit trail) while orders which violate mandatory constraints need to be cancelled. These pre trade checks are also reinforced by the possibility of simulating what would be the asset allocation and impact on the portfolio if the trades were to be executed.• Investment restrictions can be configured in the system enabling the financial institution to conform to regulatory constraints as well as respecting internal investment regulations or client requirements. Each investment restriction in OLYMPIC is determined by rules attached to the client directly or indirectly through a grouped set of rules. Client Reporting OLYMPIC provides over 500 standard lists and reports and information can also be extracted by the institution itself via database queries or extractions.OLYMPIC Reporting Services can also enable the institution to produce high quality reports quickly and easily. The reports are generated in real time, either on request or in an automated manner, in PDF format. They can be multilingual, full colour and can include charts.OLYMPIC Reporting Services is an interactive application which enables users to extract the following OLYMPIC data from their workstation in real time:• valuations• performance reports• list of cash and securities positions• account statements• etc.The module extracts the OLYMPIC data for the clients concerned in order to generate reports for the period, in the language and valuation currency desired. Fees or Billing Fees and commissions in OLYMPIC are entirely user definable. The institution can set up, through parameters, new tariffs for new transaction types it has created. The institution is also free to manage its commission structures, tariffs, fees and exceptions at any time.OLYMPIC distinguishes between:• Fees and commissions per product and sub product type• Fees and commissions per transaction types• Periodical billing (e.g. custody fees, management fees etc.)The rules for the calculation of these fees and commissions are also defined in the parametric system. Fees and commissions per product and transaction types are generated automatically and posted in real time to the related accounts. New products can also be set up by the institution itself as well as their attribution, calculation, processing, accounting and workflow rules.Generated invoices are customisable and can be sent to the customer via multiple communication mechanisms. Corporate Actions OLYMPICs Advanced Corporate Actions functional suite allows the financial institution to maximize the level of automation and productivity related to the processing of a corporate action. This is from creating a golden record for the event to the booking of generated transactions in client accounts and portfolios.The STP Corporate Actions module provides the possibility to automate the full corporate event lifecycle according to configurable rules regarding timelines, actions, messaging, alerts and controls. Capital Gains Tax OLYMPIC can prepare the information used by clients to file their fiscal tax statements. The system allows the definition of different tax regimes and takes into account capital gains and income impacting the clients revenues. Last Updated: 13/05/2023
ETF Securities (WisdomTree) Asset Management	Company Name ETF Securities (WisdomTree) Senior Executive Contact Jonathan Steinberg Sales Contact Chet Milot chet.milot@wisdomtree.com Solutions Most Suitable For Asset Managers Employees: 237 Turnover: $60.4bn Address: 3rd Floor, 31-41 Worship Street, London Post Code: EC2A 2DX Phone No: +44 (0) 20 7448 4330 General Description of Company WisdomTree launched its first Exchange Traded Funds (ETFs) in June of 2006, and is currently the tenth largest Exchange Traded Product (ETP) sponsor globally. WisdomTree offers ETPs covering domestic, international and global equities, fixed income, currencies, commodities and alternative strategies. WisdomTree pioneered the concept of fundamentally weighted ETFs and active ETFs and is currently an industry leader in both categories (as measured by assets under management). Services Provided Description Asset Management Asset Management: WisdomTree is a publicly traded asset manager exclusively focused on the ETF industry. Last Updated: 29/11/2018
Eurobase Investment Banking Corporate Actions Insurance	Company Name Eurobase Senior Executive Contact John Wilson Sales Contact Peter Morgan Hare Solutions Most Suitable For Investment Banks, Insurance, Treasury Managers Employees: 79 Turnover: £12.21m Address: Bury House, 31 Bury Street, London Post Code: EC3A 5AG Phone No: +44 (0) 12 4549 6706 General Description of Company Since 1988, the Eurobase Group has accumulated significant experience and expertise, allowing us to provide consistently high quality support to our clients and form enduring relationships throughout the industry. By investing in the best people in the market to build our technology, we can assure our clients that their specifications will be met on time and to the very highest quality. Services Provided Description Investment Banking Banking Solutions: With ready to deploy modules for Treasury, Sales Desk, eTrading, Payments and Regulatory Compliance, there has never been a better time to switch to real time risk monitoring, streaming prices and user centric online solutions. Corporate Actions Corporate Solutions: Eurobase has been providing treasury management software solutions to businesses for over 25 years, helping them to stay ahead of the market and allowing them to keep pace with the increasing burden of regulation including MiFID II supervision and market changes. With such a wide range of institutions choosing our siena platforms, we have become one of the most trusted and reliable software vendors in the market. Insurance Insurance Solutions: synergy2 is a scalable web based solution that incorporates everything you need to manage the full life cycle of your insurance operations. The platform covers everything from client management, underwriting, claims, accounting, reporting and (retro)ceding ensuring your business is optimally streamlined for efficiency. The solution is designed to support established insurers, reinsurers, captives, MGAs and startups. The insurance software also caters for a wide range of classes and distribution channels. Last Updated: 12/05/2023
Euroclear Securities Settlement Corporate Actions	Company Name Euroclear Senior Executive Contact Lieve Mostrey, CEO Sales Contact Dan Kuhnel dan.kuhnel@euroclear.com Solutions Most Suitable For Asset Managers, Wealth Managers Employees: 3,902 Turnover: €1.22 Bn Address: Boulevard Roi Albert II 1, 1210 Saint-Josse-ten-Noode, Belgium Post Code: Phone No: +32 (2) 3261 211 General Description of Company Euroclear group is the financial industrys trusted provider of post trade services. At the core, the group provides settlement, safe-keeping and servicing of domestic and cross-border securities for bonds, equities and derivatives to investment funds. Euroclear is a proven, resilient capital market infrastructure committed to delivering risk-mitigation, automation and efficiency at scale for its global client franchise. Services Provided Description Securities Settlement Accessing the domestic and international asset classes you need is vital to supporting your business strategy.We seek to make this process as easy as possible by acting as your single gateway to the European capital markets and providing you with the safest possible environment in which to hold your assets.As the worlds largest group of securities depositories 27+ trillion assets in custody we give you access to assets issued in domestic and international markets, including:equities and equity related instruments (warrants, rights, certificates)domestic bonds and money market instrumentsinternational bonds (eurobonds) and structured productsdomestic and fundsExchange Traded Funds (ETFs) Corporate Actions Managing corporate action complexity is a must in todays environment. We understand that you expect:full coverage: mandatory corporate actions, mandatory corporate actions with options and voluntary corporate actionsaccurate, easy to understand information that helps you, or your clients, to make informed decisions wherever applicablecompetitive deadlines to maximise the amount of time available to choose and correctly instructfast and automated processing and reporting, driving down any burden and associated risks for youon time, correct payment of proceeds Last Updated: 29/11/2018
Exchange Data International (EDI) Corporate Actions Market Data Investment Funds Services SITC Company Award	Company Name Exchange Data International (EDI) Senior Executive Contact Jonathan Bloch, CEO Sales Contact Andrew Sabourin, Head of Sales - UK, Europe, and Asia a.sabourin@exchange-data.com Employees: 420 Turnover: Address: 5 Highgate Road, London Post Code: NW5 1JY Phone No: +44 (0) 20 7324 0020 General Description of Company Founded in 1994, Exchange Data International EDI, is a Global Provider of Market Data. Our products and services include Pricing Data, Corporate Actions and Reference Data products for derivatives, equities and fixed income. We understand how crucial financial data is and take a different approach to how we provide it: We do not rent data, we sell it. Which means, after our contract is finished you keep all data received to date. We do not have onerous redistribution rules. We tailor our service to meet your needs. The cornerstone of our success lie in our expertise in integrating, aggregating and flexibly delivering structured data to facilitate investment research, administration and processing as well as our ability to fit our clients’ operational requirements. Eight reasons to go with EDI 1. Bought not leased Not expunging of the data is required if you wish to terminate 2. Customization Services are tailored to individual needs. 3. Data Quality Trusted since 1994 and multi-award winner 4. Global Coverage Covering all countries, no matter how large or small 5. Liberal Redistribution Not restricted by onerous redistribution rights 6. Value for money Inexpensive, high-quality data with comprehensive global coverage 7. Outsourcing Clients can outsource the finding, aggregating, and building unique datasets using EDI’s worldwide network 8. Flexible Delivery Delivery options available: Amazon S3, API, Email, SFTP, XML, Web Portal Services Provided Description Corporate Actions EDI’s Worldwide Corporate Actions Data provides comprehensive information on all corporate actions events affecting global equities from over 150 exchanges worldwide, as well as, data for 29,000+ US Mutual Funds as well as detailed announcements on many event types including dividends, takeovers, and stock splits. Market Data Global Economic Data: Our Global Economic Data product provides comprehensive and timely global economic data with over 8.3 million time series, including 300,000 forecast series covering more than 200 countries across the globe. There are eight proprietary databases, include Emerging Americas, Emerging Asia, Emerging CIS, Emerging EMEA, Emerging Africa and (G7 & Europe), Eurostat and Forecast. Data is categorised by harmonisation of 23 thematic topics to facilitate data analysis and cross-referencing. EDI Worldwide Evaluated Pricing Service: The EDI Worldwide Evaluated Pricing Service provides clients with a daily source of independent prices for valuations, portfolio analytics, best execution reporting, and risk management calculations. Valuations are calculated daily at the close of major markets. For more liquid bonds, intraday valuations may be available. Valuations can be delivered on a same-day or next-day basis. Investment Funds Services Offers the highest quality reference data, comprehensive Corporate Actions, and Dividends Data plus a daily pricing feed for US Mutual funds. Clients can access dynamically updated, maintained, and detailed information on over 31,000 Mutual Funds, including 18,000 Unit Investment Trusts (UITs) and approximately 200 Interval Funds. Covers Reference Data, Corporate Actions, Pricing Data and U.S Dividend Reclassification. Last Updated: 25/07/2022
EZE Software Portfolio Management	Company Name EZE Software Senior Executive Contact Jeffrey Shoreman Sales Contact Michael Hutner michael.hunter@ezesoft.com Solutions Most Suitable For Fund Managers Employees: Turnover: £13.9m Address: 3rd Floor, Old Change House. 128 Queen Victoria Street, London Post Code: EC4V 4BJ Phone No: +44 (0) 20 7634 8507 General Description of Company Eze Software is a global leading provider of investment management software solutions designed to optimize operational and investment alpha throughout the entire investment process. Eze Software provides the platform for growth for the entire investment management community, maximizing efficiencies across order management, trade execution & analytics, portfolio analytics & modeling, compliance & regulatory reporting, commission management, and portfolio & investor accounting. For more than 20 years Boston-based Eze Software has been driving innovation in financial technology. Today, Eze Software partners with more than 2,500 buy- and sell-side institutions in 45 countries from their 14 offices worldwide. Services Provided Description Portfolio Management In a bear or bull market, you need access to technology that can help you focus on what you do best generating alpha. Eze Software provides you with portfolio management solutions designed to create a seamless handoff of investment ideas between portfolio managers, traders, and investment committees. Our solutions give you the insight you need to view profit & loss and exposures, assess the impact of your trade ideas and make informed investment decisions. Last Updated: 29/11/2018
FA Solutions Wealth Management Asset Management	Company Name FA Solutions Senior Executive Contact Tomi Lod Sales Contact Joey Cozens-Smith joey.cozens-smith@fasolutions.com Employees: 85 Turnover: Address: Birchin Court 20 Birchin Lane, London Post Code: EC3V 9DU Phone No: +44 203 751 9533 General Description of Company FA Solutions was established in 1999 and offers a market leading portfolio management system for asset and wealth managers. The company currently has offices in 5 locations, with over 80 clients across 12 countries. Our portfolio management system, the FA Platform, is a cloud-native SaaS solution, built on microservices with open architecture and APIs. A trusted enterprise PMS, that allows for scalability and interoperability into an ecosystem that fits your business needs. With full front to back office functionality all within one solution, the FA Platform provides managers with all the tools to effectively and efficiently meet the demands of their end clients. Services Provided Description Wealth Management The FA Platform provides Wealth Managers with full front to back functionality to effectively manage their clients portfolios. This includes seamless onboarding of end clients, in-depth portfolio management and a digital end client portal. Wealth managers have complete transparency over their clients portfolio with the ability to manage both their public and private assets within one platform. With flexible rebalancing, compliance and trade order execution, the FA platform provides faster time to market and complete control of your investment activity. In additional, all middle and back office operations can be streamlined and monitored, including reconciliations, settlement, corporate actions and more. A list of core features are highlighted below: * Customer Management * Portfolio Management * Fee Management * Analytics * Pre and Post Trade Compliance * Rebalancing * Trade Order Execution * Payments * Settlement * Corporate Actions * Reconciliations * Accounting * Client and Regulatory Reporting * White labelled Client Onboarding * White labelled Digital Client Portal * Open API's and Connectivity to 3rd parties Asset Management The FA Platform provides Asset Managers will all the tools to effectively manage, monitor and track their clients investments and fund portfolios. With a multi asset class offering, Asset managers will be able to manage their clients public and private assets all within one platform. The FA platform provides Integrated analytics and full look through into underlying investments giving Asset Managers thorough transparently and control of their portfolios. Providing a real-time Investment Book of Record (IBOR) for your business, the FA Platform ensures all your positions, cash, analytics and reporting are updated in real-time to facilitating on demand investor and regulatory reporting. In addition, all middle and back office activity can be seamlessly catered for including reconciliations with third parties, corporate actions, payments, settlement and more. A list of core features are highlighted below: * Portfolio Management * Analytics * Fund Management * IBOR * Shareholder Registry * Fee Management * Pre and Post Trade Compliance * Trade Order Execution * Payments * Settlement * Corporate Actions * Reconciliations * Accounting * Client and Regulatory Reporting * White labelled Client Onboarding * White labelled Digital Client Portal * Open API's and Connectivity to 3rd parties Last Updated: 17/05/2023
FactSet Wealth Management Performance & Attribution Data Portfolio Management Risk Management Market Data Portfolio Performance SITC Company Award SITC Individual Award	Company Name FactSet Senior Executive Contact Phil Snow, CEO Sales Contact sales@factset.com Solutions Most Suitable For Portfolio Managers, Risk Managers, Wealth Managers, Quantitative Analysts, Performance Analysts, Client Service and Marketing, Buy-Side Traders, Investment Bankers, Sell-Side Research, Technologists Employees: 9600 Turnover: $1.35 Bn Address: FactSet UK Limited, Broadgate Quarter 1 Snowden St, London Post Code: EC2A 2DQ Phone No: +44 (0) 20 3009 7000 General Description of Company FactSet (NYSE:FDS \| NASDAQ:FDS) delivers superior content, analytics, and flexible technology to help more than 128,000 users see and seize opportunity sooner. We give investment professionals the edge to outperform with informed insights, workflow solutions across the portfolio lifecycle, and industry-leading support from dedicated specialists. \n\n We're proud to have been recognized with multiple awards for our analytical and data-driven solutions and repeatedly ranked as one of Fortune's 100 Best Companies to Work For® and Best Workplace in the United Kingdom and France. \n\n Subscribe to our thought leadership blog to get fresh insight delivered daily at insight.factset.com. \n \n Learn more at www.factset.com and follow us on Twitter: www.twitter.com/factset. Services Provided Description Wealth Management FactSet offers connected data and sophisticated analytics to help wealth managers win clients and meet their goals. Our all-in-one software combines portfolio analytics, multi-asset class research, global market analysis and tools to create digital client experiences. With FactSet, advisors can respond to clients with confidence by leveraging our seamless and secure portfolio holdings import from custodians, accounting systems, or order management systems. Users can view clients’ daily portfolio holdings alongside model portfolios and benchmarks to measure portfolio composition, performance, exposures, and characteristics. They can also easily create dashboard views to monitor and report on key client relationships. Performance & Attribution FactSet provides best-in-class portfolio analytics for performance, attribution, and risk across asset classes, including equity and fixed income. Our flexible solutions allow you to easily analyze portfolio’s current and historical exposures, measure hundreds of fundamental characteristics, and identify portfolio vulnerabilities and drivers of risk. Data Integrate the data you need with your applications, web portals, and statistical packages. Whether you need market, company, or alternative data, FactSet gives you normalized content through APIs and direct, local data feed delivery. Our unique symbology links and aggregates a variety of content sources to ensure consistency, transparency, and data integrity across your business. Portfolio Management FactSet's portfolio management and trading solutions combine the best in OMS and EMS with the unique company and portfolio insight only FactSet can provide to transform the way you discover, decide, and execute. Risk Management Leverage FactSet’s award-winning suite of trusted analytics, premier models, global, multi-asset class data, and reporting tools to fuel decision making and drive portfolio performance and risk analysis. Understand your portfolio’s true risk, identify investment opportunities, stress test investment ideas, and build resilient high-performing products. Market Data 30+ years of experience collecting and integrating data from more than 800 databases, plus unparalleled customer service through our global team of subject matter experts and technical specialists, FactSet market data keeps you connected to the global exchanges. Access benchmark data, economic intelligence, and market aggregates data to help you analyze relationships along with risk models, real-time exchange, and pricing data that help you monitor and manage risk. Portfolio Performance FactSet solutions give you insight into performance and attribution across the organization so you can evaluate and enhance your investment strategies and better service clients while maintaining high levels of security, data management, transparency, process control, and operational scale. Last Updated: 08/04/2022
Fenergo Private Banking Wealth Management Client Onboarding Compliance Digital Banking Outsourcing	Company Name Fenergo Senior Executive Contact Marc Murphy, CEO Sales Contact Steve D'Souza steve.dsouza@fenergo.com Solutions Most Suitable For Client Lifecycle Management, Client Onboarding, Regulatory Compliance Employees: 750 Turnover: €75m Address: Level 7 30 Moorgate, London Post Code: EC2R 6DN Phone No: +44 (0) 20 3481 1246 General Description of Company Fenergo is the digital enabler of client and regulatory technology for financial services. It provides digital Client Lifecycle Management (CLM) software solutions for Asset Management & Asset Servicing and Private Banking & Wealth Management. Counting 70+ global Financial Institutions as clients, its award-winning CLM suite digitally transforms how Financial Institutions manage clients; from initial onboarding to KYC/AML and regulatory compliance, to data management and ongoing lifecycle KYC reviews and refreshes. Fenergo CLM empowers financial institutions to deliver a faster, compliant and digital customer experience while achieving a single client view across channels, products, business lines and jurisdictions. Services Provided Description Example Customers Private Banking Fenergo Client Lifecycle Management (CLM) enables Private Banks to digitalize complex client onboarding processes, increase operational efficiency and deliver a more streamlined client experience across the client lifecycle. • Digital Client Lifecycle Management & Orchestration • Compliance by Design – streamlined compliance across KYC, AML, Tax & Data Privacy • Frictionless Digital Client Journeys • Automated Client Orchestration 26 out of the Worlds’ Top 50 banks Wealth Management Fenergo Client Lifecycle Management (CLM) enables Wealth Managers to digitalize complex client onboarding processes, increase operational efficiency and deliver a more streamlined client experience across the client lifecycle. • Digital Client Lifecycle Management & Orchestration • Compliance by Design – streamlined compliance across KYC, AML, Tax & Data Privacy • Frictionless Digital Client Journeys • Automated Client Orchestration Client Onboarding Fenergo Client Lifecycle Management (CLM) enables financial institutions to deliver a faster, compliant and digital client onboarding experience while achieving a single client view across channels, products, business lines and jurisdictions. • Multi-Channel Digital Client Onboarding • Automated Data & Document Capture • Frictionless Digital Client Journeys • Straight Through Processing delivering back-to-front office efficiency • Seamless CRM integration – Salesforce/MS Dynamics • Out-of-the-box integrations with leading KYC/AML/tax data providers Compliance Fenergo KYC & AML Backbone enables financial institutions to streamline and future-proof regulatory compliance, from initial onboarding to KYC/AML and regulatory compliance, to data management and ongoing lifecycle KYC reviews and refreshes. • Automated Regulatory Rules- including KYC,AML and Tax rules for 78 countries globally • Centralised Client Data • Real-Time Client Due Diligence enabling event-driven KYC Reviews • Community-Based Approach to Regulatory Compliance Digital Banking Fenergo Digital Client Orchestration and Customer Journey Management enables financial institutions to utilise the streamlined and future-proof regulatory compliance inside any digital channel, from initial onboarding to KYC/AML and regulatory compliance, to data management and ongoing lifecycle KYC reviews and refreshes. • All Fenergo Processes can be surfaced in any digital channel including Salesforce • Automated Regulatory Rules- including KYC,AML and Tax rules for 78 countries globally • Centralised Client Data • Real-Time Client Due Diligence enabling event-driven KYC Reviews • Community-Based Approach to Regulatory Compliance Outsourcing Fenergo in conjunction with PWC Operate provide all of the Fenergo services in a completely outsourced way, allowing for KYC as a service, Reviews as a Service, Remediation as a service as well as full Client Lifecycle. • Full Outsourced provision of KYC • Full Outsourced Remediation and Reviews • Full Outsourced Client Lifecycle- from prospect to fully onboarded compliant clients. Last Updated: 12/05/2023
Fidessa Investment Management Asset Management SITC Company Award	Company Name Fidessa Senior Executive Contact Paul Nokes, CEO Sales Contact Helen Omoregbee helen.omoregbee@fidessa.com Solutions Most Suitable For Asset Management, Cloud Computing, Data Management, Institutional Broking, Investment Management, Market Data, Securities Settlement, Banking and Connectivity, Client Onboarding, Commodities Management, Fund Management, Middle Office, Operations, Portfolio Management, Risks & Controls, Compliance, High Frequency Trading, Investment Banking, Risk Compliance, Analytics Trading, Risk Management, Treasury Management Employees: 1,484 Turnover: £353.9m Address: One Old Jewry, London Post Code: EC2R 8DN Phone No: +44 (0) 20 7105 1000 General Description of Company Fidessa provides award-winning trading and investment management solutions to buy-side and sell-side professionals, from global institutions and investment banks to boutique brokers and niche hedge funds. Our product suite is used by 85% of the world’s tier-one equity brokers, while our global trading network connects 6,300 brokers and investment managers and processes more than $26 trillion worth of transactions each year. Now that Fidessa is part of ION, we’re transforming capital markets by harnessing the power of interconnected, real-time data. Through our passion for automation and innovation, we unify our clients’ operations, front-to-back and back-to-front, empowering their business with smart workflow, real-time analytics, and proactive risk management. For more information, click on our logo to visit fidessa.com. Services Provided Description Investment Management Fidessa's Investment Management Solution enables mid to large tier asset managers to meet sophisticated requirements across regions and asset classes with a comprehensive, functionally rich, high performance, end to end platform. Delivering mission critical products and services for the areas of investment decision, compliance, orders & trading and post trade, Fidessa leverages its deep understanding and years of experience across the entire financial industry to help buy sides address their most urgent concerns in todays cost conscious and heavily regulated environment. Asset Management All the right connections trade what you want, where and when you want, with counterparties from across the world.Access the worlds financial markets directly or connect to a comprehensive range of trading services from brokers around the globeA fully managed trading connectivity solution with support for pre and post trading servicesAvailable fully integrated into Fidessas own buy side and sell side product suites, or as a direct FIX connection for in house or third party systems Last Updated: 29/11/2018
FinanceBI	Company Name FinanceBI Employees: Turnover: Address: Post Code: Phone No: 02036330663 General Description of Company Financial reporting, analytics and FP&A for Wealth Management Services Provided Description Last Updated: 11/04/2022
Financial Software Ltd (FSL) Capital Gains Tax Offshore Fund reporting Data Software as a Service (SaaS) – Bureau Service Testing Services SITC Company Award SITC Individual Award	Company Name Financial Software Ltd (FSL) Senior Executive Contact Ken Gillingham, Managing Director Sales Contact Ian Robinson ian.robinson@financialsoftware.co.uk Employees: 32 Turnover: Address: Floor 3, 21 Great Winchester Street, London Post Code: EC2N 2JA Phone No: +44 (0) 20 7011 9940 General Description of Company A provider of specialist investment tax solutions and the CGiX Capital Gains platform. Services Provided Description Capital Gains Tax CGiX is a capital gains calculation and investment tax management product. It integrates with more than 30 proprietary and commercial front and back office systems and leverages a unique tax database to guarantee accuracy. CGiX automates the calculation, tracking, reporting and modelling of the chargeable gains and allowable losses upon investment portfolios. It is used by financial institutions to provide high quality tax planning and reporting to their customers. CGiX also provides ‘What-If’ future liability analysis, enabling fund managers to consider accurate CGT implications as part of their modelling and asset allocation processes. Offshore Fund reporting Data The Offshore Reporting Funds service provides clients with access to accurate, trusted and up to date data on these complex investment vehicles, for timely submission of HMRC tax forms. FSL’s service transforms the time-consuming and labour-intensive task of identifying funds and determining tax liabilities into a streamlined process. Our dedicated Data Analysis team is available in person and over the phone to provide additional support. Software as a Service (SaaS) – Bureau Service FSL’s flexible Software as a Service (SaaS) and Service Bureau Deployment Models provide resilient and reliable alternatives to hosting CGiX internally. This enables clients to access our products and services securely, while reducing the infrastructure and internal resources required. FSL’s Service Bureau complements the SaaS offering with a level of service tailored to clients’ specific requirements. Testing Services FSL employs industry-leading, independent software testing services to provide best practice testing of our products. Our testing services are flexible and can be tailored to meet each client’s specific needs. Last Updated: 08/04/2022
Finantix Wealth Management Portfolio Management Client Relationship Manager(CRM) Digital Banking	Company Name Finantix Senior Executive Contact Christine Ciriani - CEO and Chief Commercial Officer Sales Contact Alessandro Tonchia – Co-Founder and Head of Strategy contact@finantix.com Employees: 250 Turnover: Address: 11 Place, Saint Pierre et Paul, Luxembourg Post Code: L-2334 Luxembourg Phone No: General Description of Company For over two decades, clients and analysts have recognised Finantix as the leading provider of trusted technology to the worldwide financial industry. Applying deep sector knowledge, we empower wealth managers, insurers and banks to digitally and intelligently engage with clients and provide insightful and compliant advice. By injecting artificial intelligence into a comprehensive yet modular, API-first platform, our proven technology enables holistic customer intelligence, sales and servicing productivity and individualised omni-device experience. Our flagship platform can run in the cloud or be deployed as services that can help turn routine transactions into valued and collaborative interactions. It serves multiple actors across financial services organisations and is proven across multiple devices, languages, currencies, jurisdictions and regulations. We operate from offices across Europe, North America and Australasia. Services Provided Description Wealth Management Making wealth management services ready for the digital era, mixing personal touch and high tech. We offer modules, components, solutions and APIs that enables your organization to excel in engaging with customers and prospects in unique ways mixing a personal touch (engaging KYC and FNA, profiled content, personalised reporting, tailored advice, profiled alerts) with a high tech approach (serve customer everywhere and anytime with tablet-based adviser tools, make self and assisted onboarding fully digital, provide comprehensive self customer apps). Serve and support multiple client segments, business users and technical channels. Finantix Client Wealth Portal provides financial institutions’ clients with a cross device digital platform that provides: • Rich wealth view - aggregating and normalising client's accounts, portfolios, assets, liabilities and even insurance policies details, with a view covering all key analytics and breakdown across multiple breakdown, as well as statement and reports generation. • Research and content - allow clients to access news, internally produced and external research reports, house views, and product brochure personalised based on their subscription, reading history, demographics and portfolio holdings. • Hybrid advisory - clients can collaborate with advisors and investments specialists at the portfolio construction and rebalancing stage through a digital investment proposal builder and viewer. • Collaboration - the Digital Collaboration Hub provides secure tools for clients, advisers and other specialists to live chat, send secure mails, call and run video-conferences to stay connected at all times. The suite also enables all users to inject in-context elements such as digital forms, workflow processes, content from the knowledge centre or digital investment proposals to collaborate through a fully digital-enabled process. • Personalisation - portfolio-based content filtering, content matching, equity and product recommendations, goal suggestions and personalised alerts/notifications. • E-Banking & Onboarding - self-service capabilities for clients to perform on their own an end-to-end account opening process, typical banking services (transfer and payments), and stock and mutual fund transactions (buy, sell, switch) in an execution-only mode. Portfolio Management Finantix Portfolio Management solution includes CIO views, investment ideas, news and research authoring and distribution module, portfolio construction and rebalancing, risk and performance engines that enables portfolio managers and advisers to analyse, monitor, rebalance and optimize clients’ portfolios based on the bank's views and guidelines, as well as customer preferences and constraints. CIO cockpit & house views A centralised console for CIOs and investment teams to define and refine the bank's views on asset classes over time, and reflect them into the tactical asset allocation and model portfolios to then be implemented by the front-office users. Portfolio optimisation A portfolio toolbox to prepare, simulate and implement suitable and tailored investment portfolios based on a wide range of methodologies, including model portfolios, asset allocation-based portfolios and optimisers. This offering can leverage other Finantix offerings to then present the portfolio in a comprehensive digital proposal with supporting content to enrich it. Portfolio monitoring, performance, risk & health checks A set of engines to monitor client's portfolio across multiple performance and risk dimensions at the individual portfolio and book of business levels to quickly identify the portfolios that require some actions. Client Relationship Manager(CRM) Finantix Wealth CRM is an end-to-end prospect and client management that includes lead and sales pipeline management, digital client onboarding and account opening, client profiling, automated alerts / notifications, individual client opportunities, communications history and task management, 360° client view and dashboards (at RM, desk and region levels, etc.) with a an exhaustive and real time view of all client aggregated positions for full set of internal and external assets and liabilities (balance sheet), respectively transactions at required level (eg. asset, sector, portfolio, relation, etc.) with underlying details (eg. transactions status, history, etc.), including portfolio’s analysis breakdown etc. Digital Banking The Finantix Advisor Desktop supports wealth managers, private bankers and advisers by providing them with a holistic view of their book of business and individual client, aggregating all key information from the other systems used within the institution. The Wealth and Portfolio view aggregate financial and non-financial assets and liabilities held at or outside of the institution. The platform also enables actions and collaboration between advisors, clients and other specialists at all stages of the relationship (pitching, onboarding, portfolio proposal and review), to leverage the expertise of each actor. Finantix Client Acquisition Lead generation and insight \n This module allows financial institutions to find prospective customers based on their similarity of target individual or entity personas, automatically scan for new prospects both on databases and news across many languages looking for money in motion. Client onboarding Expedite client account opening with tools that make data collection and validation seamless and make the process collaborative between client and advisor. Automated KYC Increase the efficiency and precision of the onboarding or periodical KYC review process by injecting AI at the heart of the financial institution. Last Updated: 13/05/2023
Finastra Investment Management Corporate Banking Retail Banking Investment Banking Investment Management	Company Name Finastra Senior Executive Contact Simon Paris Sales Contact Klaus Kristensen klaus.kristensen@finastra.com Solutions Most Suitable For Retail Banks, Corporate Banks, Investment Banks, Investment Management firms Employees: 10,700 Turnover: $2.1 billion Address: 4 Kingdom Street, Paddington, London Post Code: W2 6BD Phone No: +44 (0) 20 3320 5000 General Description of Company Formed in 2017 by the merger of Misys and D+H, Finastra provides the broadest portfolio of financial services software in the world today?spanning corporate banking, retail banking, investment management, managed services, and treasury and capital markets. Our scale and geographical reach means that we can serve customers effectively, regardless of their size or geographic location?from global financial institutions, to community banks and credit unions. Our solutions enable customers to deploy mission-critical technology on premises or in the cloud. Through our open, secure and reliable solutions customers are empowered to accelerate growth, optimize cost, mitigate risk and continually evolve to meet the changing needs of their customers. Today, 48 of the worlds top 50 banks use Finastra technology. Follow us to discover how we are committed to unlocking the potential of people and businesses in finance by creating a platform for open innovation. Services Provided Description Investment Management Finastra unlocks the potential of people and businesses in finance, creating a platform for open innovation. Formed in 2017 by the combination of Misys and D+H, we provide the broadest portfolio of financial services software in the world todayspanning retail banking, transaction banking, lending, and treasury and capital markets. Our solutions enable customers to deploy mission critical technology on premises or in the cloud. Our scale and geographical reach means that we can serve customers effectively, regardless of their size or geographic locationfrom global financial institutions, to community banks and credit unions. Through our open, secure and reliable solutions, customers are empowered to accelerate growth, optimize cost, mitigate risk and continually evolve to meet the changing needs of their customers. 90 of the worlds top 100 banks use Finastra technology. Corporate Banking Finastra has the most complete and connected suite of corporate banking solutions available. With unrivalled depth and multi channel coverage, they enable banks to digitize the corporate value chain to release the potential in corporate banking. Retail Banking Finastra retail banking software solutions are designed to help you to complete it. Our portfolio is the broadest, deepest suite of integrated solutions for retail banks, commercial banks, universal banks, community banks and credit unions. Investment Banking Finastras treasury and capital markets solutions improve trading and treasury performance and processing, enhance monitoring and reporting, and make risk management more effective. Leveraging more than 30 years experience in treasury and capital markets technology, they help you to extend your business capabilities and gain a significant competitive advantage. Investment Management Finastras investment management solution helps firms analyse all aspects of the investment process to meet different reporting, margin, and clearing requirements. The solution provides a consistent, consolidated, and real time Investment Book of Record (IBOR) that supports all business functions from the front office and risk through to compliance, collateral management, and investment accounting. It delivers consistent, real time data and analytics to all business functions across the investment process. Last Updated: 29/11/2018
FinoComp Capital Gains Tax Client Reporting Data Other Functionality SITC Company Award SITC Individual Award	Company Name FinoComp Sales Contact Tim Williams contact@finocomp.com Solutions Most Suitable For Buy side Institutions Employees: Turnover: Address: 1 Poultry, London Post Code: EC2R 8EJ Phone No: +44 (0) 7717 87146 General Description of Company Specialised services and products dedicated to innovative solutions within the Financial Services and Wealth Management sector Services Provided Description Capital Gains Tax The FinoComp cost base calculation engine, Cobalt, is an innovative tool that calculates clients unrealised and realised gains and losses, for the purposes of calculating capital gains tax. Its flexibility is such that it can handle real time updates and performs re calculations within seconds. The processing of complex scenarios, such as corporate actions, is fully automated and theres a suite of data hygiene checks and administration functions to ensure data is accurate. The web interface provides a great user experience, with graphical illustrations of realised and unrealised gains and losses, and drill down functionality to see how gains or losses have been calculated.Its built on state of the art architecture with open APIs, so data is easily accessible and offers clients the ability to build their own user interface if preferred. Its scale has been proven with the UKs largest retail platform using the service. Client Reporting TierDrop is a unique portfolio performance calculation engine and reporting tool. It provides acute, consistent and timely performance data to its key users; platforms, DFMs, wealth managers and advisers.It calculates the performance of individual client investment portfolios and alerts of any instances where clients portfolios have dropped by 10% or more, in line with the MIFID II reporting requirements for notifying clients when their discretionary managed portfolios have dropped by 10% or more. A number of features, such as data hygiene checks and the use of complex calculation algorithms, ensure these calculations are highly accurate and reduces the risk of clients being incorrectly reported or missed.The tool provides an intuitive drill down functionality which makes it simple to navigate. The use of visualisation not only reduces the risks of clients being incorrectly reported, or missed, but also improves customer experience by giving DFMs time to analyse the portfolio and provide a narrative alongside the notification that their portfolio has dropped.Its integrated with two of the UKs leading retail platforms and uses cloud technology to ensure its easily accessible to all users. Data is also easily accessible to adviser and client portals through a suite of APIs developed for the service. Data With complex system structures and increased regulation, the requirement for quality, up to date asset data within a Wealth Management company is paramount. The FinoComp Single Source of Asset Database tackles this issue by automatically ingesting asset level data, this data is validated via an innovative approval checking function and then synchronised across multiple data sources through an advanced system integration layer.Functionality includes;• Multi Platform capability• Supports all asset types including funds, equities, bonds and ETFs• Defined user privileges to support creation and approval• Full electronic audit history• Data quality is reinforced by a reconciliation to the source data to ensure you have consistent, clean and up to date asset data throughout the business Other Functionality The FinoComp CoCa module is designed for the calculation and production of the MIFID II Ex Post Costs & Charges disclosures.CoCa is an independent MicroService aimed at wealth management companies and platforms to automatically produce the MIFID II Ex Post costs and charges disclosures. Its been built with an innovative web interface offering wealth management companies flexibility to map their charges to the defined buckets and define the treatment of certain criteria such as cross account charging and foreign exchange.It produces these disclosures in the wealth management company defined PDF format (with branding etc) or produces an XML file for easy integration with existing print vendors. Furthermore, this innovative web portal allows YTD reports to be generated ad hoc with a simple click of a button. It also features a drill down function so that each charge category can be scrutinised to see which transactions or holdings have given rise to the respective charges. Offering complete transparency to the client.Performance is calculated using the highly accurate Internal Rate of Return and Modified Dietz methods to ensure the impact these costs and charges have had on performance is clear and concise. Furthermore, its innovative architecture has been designed with open integration in mind, so all of the data within the component is easily accessible via APIs.Unique features of the service;• Look through function for adviserswealth managers to monitor charges throughout the year• Drill down functionality that offers complete transparency of all charges down to the individual assets within the portfolio• Ad hoc production of PDFs as well as bulk annual production• Modified Dietz & Internal Rate of Return performance calculations• Exception reporting for clients where impact of charges on performance is disproportionate Last Updated: 13/06/2023
FIS Asset Management SITC Company Award SITC Individual Award	Company Name FIS Senior Executive Contact Gary Norcross, CEO Sales Contact Ellyn Raftery ellyn.raftery@fisglobal.com Solutions Most Suitable For Wealth Managers Employees: 55,000+ Turnover: $9.2 Bn Address: 25 Canada Square, London Post Code: E14 5LQ Phone No: +44 (0) 20 8081 2000 General Description of Company FIS is a global leader in financial services technology, with a focus on retail and institutional banking, payments, asset and wealth management, risk & compliance, consulting and outsourcing solutions. Through the depth and breadth of our solutions portfolio, global capabilities and domain expertise, FIS serves more than 20,000 clients in over 130 countries. Headquartered in Jacksonville, Fla., FIS employs more than 55,000 people worldwide and holds leadership positions in payment processing, financial software and banking solutions. Providing software, services and outsourcing of the technology that empowers the financial world, FIS is a Fortune 500 company and is a member of Standard & Poors 500 Index. FIS continually strives to give every client a voice and listen and respond to their needs. With a focus on innovation, new product development and enhancements, FIS is positioned to help our clients be more competitive and address their business challenges and strategic goals. We take information security very seriously and provide industry-leading secure and reliable solutions. At FIS, we are committed to protecting the assets of our clients and their customers. Services Provided Description Asset Management FIS provides software and IT services for the buy side, capital markets and global trading. Their solutions automate the detailed processes associated with financial services, from trading, portfolio management and investment accounting to retail transactions and corporate treasury management. Last Updated: 25/05/2022
Fiserv Wealth Management Asset Management	Company Name Fiserv Senior Executive Contact Jeff Yabuki Sales Contact David McLaren david.mclaren@fiserv.com Solutions Most Suitable For Wealth Managers, Asset Managers Employees: 22354 Turnover: $5.7 billion Address: The Porter Building, 1 Brunel Way, Slough Post Code: SL1 1XL Phone No: +44 (0) 20 8833 3000 General Description of Company Fiserv is a global leader in financial services technology solutions. We're helping more than 12,000 clients worldwide create and deliver experiences for a digital world that's always on. Solutions that enable today's consumer to move and manage money with ease, speed and convenience. At the point of thought. Services Provided Description Wealth Management Fiserv offers integrated, front to back wealth management solutions to help your firm deliver on goals based wealth management the promise of the unified managed household (UMH) a single view of total assets and liabilities for each customer household, actionable data for optimal financial planning and decisions, and all the automation for portfolio construction, trade execution and rebalancing, portfolio accounting, performance calculation and reporting.<br>Fiserv technology is transforming the way financial advice can be delivered. Stand alone institutional asset management solutions are also available for certain back office capabilities. Asset Management Institutional Asset Management Solutions comprise a full range of integrated technologies designed to help firms improve operational efficiencies in all areas of their business. Leverage the advanced technology of our Institutional Solutions and deliver better service, products and advice to your customers.<br>Institutional Solutions, designed with you and the investor in mind, can help you reduce manual processes, mitigate errors and risk, and improve operational efficiencies, all in a secure environment. Eliminate manual tasks and preserve that time to focus on what you do best: service customers. Last Updated: 29/11/2018
FNZ Asset Management Capital Gains Tax Clearing Service Model A Clearing Service Model B Client Reporting Corporate Actions Data Fees or Billing Middle Office Portfolio Management Private Management Retail Banking Securities Settlement	Company Name FNZ Senior Executive Contact Adrian Durham, Group CEO Sales Contact Hugh Evans hugh.evans@fnz.co.uk Solutions Most Suitable For Asset Managers Employees: 1,229 Turnover: £104m Address: 67 Lombard Street, London Post Code: EC3V 9LJ Phone No: +44 (0) 30 3333 3330 General Description of Company FNZ partners with major financial institutions to enable them to provide multi-channel wealth management services to their clients across direct, intermediated and workplace channels. FNZ believes that enhancing client engagement, lowering costs, delivering a seamless service and enabling personal solutions are key to helping people achieve their financial goals. We partner with major financial institutions to enable them to provide wealth management services to their clients across direct, intermediated and workplace channels that reflect these principles. To support our customers, we provide a set of core outsourced services that span the entire wealth management value chain, from the digital user experience, client, account and portfolio management through to back-office trade execution, settlement and investment administration. Services Provided Description Asset Management FNZ provides a digital platform to enable asset managers to connect directly with their retail investors.Fully online self service client accounts, portfolio and transaction management is combined with portfolio valuation, asset allocation and performance reporting providing investors with real time information and control over their portfolio.A goal based digital advice framework enables investors to directly assess financial advice and guidance, and be algorithmically matched to investment solutions. Capital Gains Tax Capital Gains Tax:FNZ operates a proprietary CGT tool. This includes the following key features: Automatic maintenance of all book cost and taxable cost bases in line with purchase, sale, corporate action and transfer transaction types. In the case of transfers, cost bases can either be loaded, or the historic transactions loaded and FNZ will calculate the correct cost base automatically; Rules for Retail and Corporate investors (i.e. indexation) Calculation of CGT arising on a pre trade (including what if scenarios) and post trade basis; Calculation of CGT allowance utilisation for the current tax year, including the ability to record external gains and losses, prior year losses (both on and off platform), and allowable losses brought forward calculations; Automatic trade calculation (including within a model rebalance context) to maximise CGT subject to the allowance and minimise CGT (through multi wrapper optimisation). CGT What IF: Allows the portfolio manager to model the CGT impact to clients of specific scenarios such as changes to the model targets or composition or asset price or FX movements. CGT Harvesting: Functionality allows the portfolio manager to realise gains and losses within a clients portfolio and maximise use of the clients annual capital gains allowance and ISA allowance. Gains and losses are harvested from the non tax wrapped portion of the portfolio and where possible, within ISA allowance, asset are repurchased within the ISA while maintain the portfolio target asset weightings. If necessary a proxy asset can be used for purchases to avoid triggering 30 Day rule and these positions can be automatically reverted to the model asset after the 30 day period. Clearing Service Model A FNZs client has retail permissions and CASS responsibility the end investor pays FNZs client. Clearing Service Model B Wealth Manager would contract with Rexigon for a model B. All client moneyretail permissions are provided by Rexigon. FNZs standard operating model provides all the CASS related reports and governance. Client Reporting The FNZ platform supports an extensive range of reporting, analysis and performance tools. This includes a 360 degree view of the portfolio, online valuations, asset and sector analysis, performance measurements and MI reports. In addition, regulatory statements, operational and valuation documents can be also be produced on demand as at any point in time, or between any points in time. A specialist client reporting platform (Thunderhead) is used by our client and FNZ to design bespoke client reports that project the wealth manager in the most professional and MIFID complaint manner to the investor.The stochastic projections engine delivers projected risk and return envelopes at client, account or global level.A full history of all generated reports is retained on the platform and can be downloaded at any stage in the future. Corporate Actions FNZ manages the processing of all corporate actions across the full corporate action lifecycle for assets administered by FNZ.We ensure that investors are kept informed throughout, using information from issuers and third party sources.Any elections are made in a timely fashion using online tools, and positions are maintained so that trading is available continuously in respect of affected positions. Data FNZ is developing business Intelligence platforms, predictive analytics and machine learning to leverage this value for our customers and end investors.Data & Predictive Analytics help IFAs enhance efficiency of client advice relationships and grow their businesses through predictive analytics. Fees or Billing Interest: Fixed or Variable (with automated rate setting), Debit or Credit Tiered or Threshold with minimums and maximums• Daily automated accrual with configurable billing frequency• Account grouping for aggregation and re direction (i.e. take ISA fees from Unwrapped Account, take daughter fees from fathers Account)• Full support for commission calculation and payment• Full support for VAT, GST or relevant sales tax, stamp duties and other applicable trading related charges Middle Office The FNZ platform is offered as a hosted, managed solution within FNZs own infrastructure. FNZ One is the key component to the middle office including client details, account holding and servicing, product rules, reporting and distribution logic. Portfolio Management FNZ deploys sophisticated modelling tools to portfolio and asset managers to enable construction and maintenance of multi layered investment strategies, including both strategic and tactical asset allocations and investment building block allocation within single strategy components.FNZ takes responsibility for replicating investment strategies across selected investor level mandates using models. Algorithms are used to automatically adjust investment strategies to optimise investor tax, and take account of other investor constraints and preferences. This provides an optimal balance between professional investment management and bespoke investor requirements.Investment strategies can be centrally traded and rebalanced on demand on an on going basis with all account level replication fully automated. Sophisticated order management tools are provided to ensure efficient execution of aggregate trades generated across all underlying investors.Additionally, FNZ offers a "Digital Adviser" Module, which allows our clients to offer a simple yet powerful online option for wealthy individuals who also want to create, track and achieve financial goals alongside their main F2F relationship with the wealth manager. This digital (or robo) advice proposition is live at Santander (first tier 1 bank to offer such a capability), Mercer, UOB, and Swedbank. Soon to be live at a Swiss and German private bank. Private Management FNZ provides an integrated front and back office solution for managing every stage of a bankers relationship with their high net worth clients. This includes on boarding and account opening, constructing wealth management strategies and mandates across both assets and liabilities, and implementing these across multiple relationships that span multiple jurisdictions.The platform provides sophisticated support for creating a full range of on balance sheet products (deposits and loans) and managing associated treasury functions including hedging and risk management.Full straight through processing and process automation across front office, back office and all market counterparties ensures highly accurate and efficient operations and risk management, managed by FNZ as an outsourced service.A range of high quality and sophisticated client reporting aligned with the demanding requirements of high net worth households is available as standard, and can also be rapidly tailored to specific requirements. Retail Banking FNZ enables a digital self service wealth management platform for banking customers, seamlessly integrated into existing online banking services, both front end to provide a single customer view, and back end to enable seamlessly integrated payments and accounts.Multi channel wealth services can be seamlessly configured for different client segments, including execution only, guided advice and discretionary solutions, automatically tailoring the investment proposition accordingly across all asset and investment options.Fully online self service client, account, portfolio & transaction management is combined with portfolio valuation, asset allocation & performance reporting to provide investors with real time information about, and control over their portfolio. A goal based digital advice framework enables investors to directly access financial advice and guidance, and be algorithmically matched to investment solutions. Securities Settlement FNZ arranges and provides a single point of access for execution across global equities and exchange traded securities, funds, fixed interest and FX with a range of market counterparties.We manage the settlement process across all counterparties either as sub custodian directly with the relevant central depository or, depending on asset and market, using our network of third party sub custodians. Last Updated: 29/11/2018
Focus Solutions Asset Management Client Reporting Fees or Billing Private Banking Other Functionality SITC Company Award	Company Name Focus Solutions Senior Executive Contact Dave Upton, CEO Sales Contact Peter Dingomal, Dave Upton peter.dingomal@focus-solutions.co.uk, dave.upton@focus-solutions.co.uk Solutions Most Suitable For Wealth Managers, IFAs, Banks (Private) Employees: 200 Turnover: £1.8m Address: Cranford House, Kenilworth Road Blackdown, Leamington Spa Post Code: CV32 6RQ Phone No: +44 (0) 1926 468300 General Description of Company We provide front-line software to everyone from high-performing financial advice practices to the UK's high street banks and major advice distributors. Founded in 1995, we are a financial services software house with an enviable track record of providing effective advice & business automation, CRM, T&C and financial planning solutions. We work with leading financial advisers (at both network and firm level), bancassurers, product providers and mortgage lenders to deliver highly valued solutions across a range of products such as investments, pensions, protection, mortgages and general insurance. Services Provided Description Asset Management Focus:Wealth simplifies, streamlines and automates business processes to let wealth management teams, intermediaries and consumers focus on accomplishing their goals with the minimum of effort.Built with Wealth Managers in mind, the software focuses on creating the highest standard in the client experience and supported by the most extensive end to end capability in the UK's advice market place.The main user dashboard allows complete management of a client, company or trusts portfolios. Client Reporting The Focus platform comes with comprehensive reporting tools which can be used by the end user. This allows for everything from suitability reports, investment proposals and monthly and annual reviews.The system also allows for ad hoc reports and MI to be run at any time Fees or Billing Maintenance of Expectations (Fees, Commission & Charges) against Clients and Provisions.Recording of Bank Receipts Reconciliation of Bank Receipts to Provider Statements Client fees Integrated Bulk Upload of Provider Statements (easylink) Manual Bulk Upload of Provider Statements Manual creation of Provider Statements Automated Matching of Provider Statements to Expectations Configurable Automated Matching of Provider Statements to Expectations Configurable Tolerances Rules relating to Matching Suspense Processing Configurable Bypass Suspense Rules Manual Authorisation of Matched Item Configurable Auto Authorise Rules Configurable Distribution Rules (to apply retention accounts introducer distribution etc.) Payments Payments (including production of BACS pay file) Remuneration Reporting (including regulatory) Remuneration Reporting Full MI Cubes (including regulatory) Invoice Generation relating to Client Fees (Initial/Ongoing). Private Banking Focus: Wealth simplifies, streamlines and automates business processes to let wealth management teams, intermediaries and consumers focus on accomplishing their goals with the minimum of effort. Built with Wealth Managers in mind, the software focuses on creating the highest standard in the client experience and supported by the most extensive end to end capability in the UK's advice market place.The main user dashboard allows complete management of a client, company or trusts portfolios. Other Functionality Advice, cashflow modelling, training and development, digital engagement tools and secure co-browsing Last Updated: 29/11/2018
Frontier Technology Data Management Cloud Computing Asset Management	Company Name Frontier Technology Senior Executive Contact Neil Cattermull Sales Contact Dean Rawal dean.rawal@frontiertechnology.co.uk Solutions Most Suitable For Retail Banks Employees: 23 Turnover: Address: 290 – 294 Latimer Road, London Post Code: W10 6QW Phone No: +44 (0) 84 5603 6552 General Description of Company Frontier Technology believe?s that first class IT is vital for your business success. We aim to deliver first class IT by investing significant time and money in staying ahead of the latest IT developments, ensuring you have the competitive advantage. We devote large amounts of time internally, on research and development, to guarantee we have the best team to help you. Finally we operate a systematic client review process to consistently monitor your requirements, using rigorous analytics, enabling us to continue supporting all your IT needs. Frontier Technology has partnered with industry leading IT solution providers to offer the expert knowledge and experience tailored to your specific requirements. Frontier Technology also have their own managed service offerings available. Services Provided Description Data Management Our data management as a service solution lets you manage, store, search, share, analyse and visualise unprecedented amounts of data with ease and in a timely fashion.Frontier Vault Service (FVS) is our suite of data management as a service solution that lets you maximise active storage space and dramatically reduce your storage costs.It is your complete answer to two of the most burdensome aspects of data management archiving and backup. With a thorough understanding of the complexities and differences each organisation may have in addressing Big Data, we have put together customisable solutions that promise to improve your current set up, cope with pressing concerns and provide scalable room for growth.As FVS is a managed service, there will be no capex, no hardware maintenance, no need for additional staff or more office space. Cloud Computing Instantly available private cloud. Designed, built and hosted in the UK.Frontier Velocity Cloud is our readily available, instantly accessible managed private cloud. It is comprised of key components from within our range of cloud services and is built on the same world class infrastructure that Frontier Cloud is known for. High performance and high availability comes as standard.Frontier Velocity Cloud (FVC) is comprised of Tier 1 fibre channel storage with SSD available, Cisco Networking & Firewalls, the latest HPDell servers and an ultra fast 10 GB network all in duplication across two datacentres in two separate geographical locations. 99.999% uptime SLA guaranteed.Our flexible infrastructure monitoring as a service solution comes in two packages that are designed to suit your individual needs Asset Management Frontier Technology understands that a solid infrastructure provides the foundation of all things IT. Thats why we endeavour to give you one that matches your organisations vision.The right IT infrastructure is a crucial element of any business. It will ensure that your firm is at its most productive maximising ROI and minimising costs and risks.Frontier Technology ensures that your systems are working at their optimum. Our consultants conduct IT infrastructure readiness assessments of your environment to determine how they can be improved cost effectively. As an independent solutions provider, we can impartially advise you on the best solutions in accordance to your business needs. Our consultants are also available to install any proposed solutions for you, reducing the administrative burden on your IT department.Frontier Technology enables your organisation to enhance efficiency, focus on greater innovation and gain a competitive advantage. We specialise in delivering infrastructure solutions alongside data management, business continuity and remote access. You can be assured that in each area of specialisation, we have unrivalled knowledge, a pool of experts and use industry best practice in all our engagements. Last Updated: 29/11/2018
FundCount Asset Management Portfolio Management	Company Name FundCount Senior Executive Contact Alex Ivanov, CEO Sales Contact Ashley Whittaker info@fundcount.com Solutions Most Suitable For Asset Managers, Hedge Funds, Private Equity, Family Offices, Fund Administrators Employees: 55 Turnover: Address: 63 St Mary Axe, , London Post Code: EC3A 8AA Phone No: +44 (0) 7507 641 036 General Description of Company Founded in 1999, FundCount provides integrated accounting and investment analysis software that improves operational efficiency and delivers immediate, actionable intelligence to clients around the globe. Today, over 120 hedge funds, single and multi-family offices, fund administrators and private equity firms worldwide with assets totaling more than U.S. $125 billion rely on FundCount for accurate, timely information and flexible reporting. FundCount supports its growing client base from the companys U.S. headquarters and four additional international locations. Services Provided Description Asset Management FundCounts integrated accounting and investment analysis software supports a wide range of fund structures, investments, and security types, including equities, derivatives, currencies, swaps, private equity and debt instruments all within one system. FundCount accepts feeds from data pricing providers, creates net asset value, calculates management and incentive fees and reconciles portfolios with multiple custodians. Flexible, on demand reporting enables asset managers to quickly customize reports to client needs. With its integrated general ledger, FundCount provides timely, consolidated information that enhances efficiency, reduces operational risk and provides actionable intelligence. Portfolio Management FundCounts portfolio accounting software brings speed, accuracy and efficiency to your firm. It tracks, analyses and accurately reports the value of complex investments for all public securities and derivatives. The software integrates with any order management system as well as with brokers, custodians and alternative managers, eliminating manual input. Institutional data connections are available using PCR, a FundCount partner, or with FundCounts proprietary ETL (Extract Transform Load) Data Importer. An integrated general ledger provides immediate access to consolidated investment information. Reports can be created on demand for clients. FundCount offers advanced functionality for fund accounting, including basic funds, multi class funds and others. Last Updated: 19/05/2021
FundsLibrary Data	Company Name FundsLibrary Senior Executive Contact Arun Sarwal, CEO Sales Contact David Hann David.Hann@fundslibrary.co.uk Solutions Most Suitable For Asset Managers, Life & Pensions, Intermediaries, Platforms and Wealth Management Employees: 70 Turnover: £9m Address: 60 Gresham Street, London Post Code: EC2V 7BB Phone No: +44 117 980 9994 General Description of Company FundsLibrary is one of the investment industry’s leading providers of fund data, related regulatory services and digital software solutions. We collect and distribute a vast range of fund data and documents that we collect directly from some 700 global fund groups. Once validated by our team of experts, the data can then be distributed to any desired global end-point within the industry, including to all platforms, wealth managers, investment boutiques and market data vendors. \n \nWe are the comprehensive data resource. Recognised for the breadth and depth of our data and our ability to provide authoritative insights to financial professionals and others who require directly sourced and validated investment information.\n \nWe are the industry’s go to resource. The industry’s gateway to an established data and regulatory distribution network. We seek effective ways to deliver the best investment data and meet the challenges of regulatory change.\n \n We work in partnership with our clients. We collaborate with our clients, sharing our expertise, to increase their competitiveness. Striving to deliver exceptional customer service and constantly improve performance. \n \n We offer a range of products and services including: \n \n Data Solutions \n \n • DataBank \n • Data Distribution \n • Galaxia - Data API \n \n Regulatory Solutions \n \n • MiFID II Manager \n • Solvency II Manager \n • KIID and PRIIP KID Distribution \n \n Digital Solutions \n \n • Fund Pages \n • Income Forecaster \n • Portfolio Factsheets \n • Investment Desktop \n Services Provided Description Data FundsLibrary is a leading digital platform, supporting the entire life cycle of fund data, documents, and regulatory reporting for the Asset Manager industry.\n \nWe collect and distribute a vast range of fund data and documents that we collect directly from over 650 global fund groups. Once this data has been validated by our team of experts, it can then be distributed to any desired global end point within the investment industry, including to all platforms, wealth managers, investment boutiques and market data vendors.\n \n In addition, we help our clients meet the demands of the ever changing regulatory landscape, by using our expertise to provide services that support the delivery of Solvency II and MiFID II data. FundsLibrary also provide a range of tools for our clients that enables them to bring to life the extensive range of fund data held, from Fund Research Centres and Digital Factsheets to Income Forecasters and Illustration tools. Last Updated: 12/01/2021
GBST Wealth Management Digital and User Experience Custody Middle Office Institutional Broking SITC Company Award	Company Name GBST Senior Executive Contact Rob DeDominicis Sales Contact David Simpson david.simpson@gbst.com Solutions Most Suitable For Wealth Managers, Custodians, Investment Banks Employees: 530 Turnover: Over AUD 90m Address: 8th Floor Linen Court, 10 East Road, London United Kingdom Post Code: N1 6AD Phone No: +44 20 7613 8800 General Description of Company GBST provides financial services technology to the capital market and wealth management sectors globally. We create vital back, middle and front office technology solutions for wealth managers, life and pension companies, investment bankers, stockbrokers and fund managers to help them streamline operations and engage their customers. Established in 1983, we have a long heritage in the financial services sector. Today we work with over 100 organisations across Australia, Asia, the UK and the US and our technology supports millions of people around the world who are investing in their future. Services Provided Description Wealth Management We are a leading global provider of wealth management administration solutions. In Australia, over 2million end investors are supported on our technology and in the UK, c£150bn AuM and 3million end investors. Our solutions improve efficiency and compliance in an ever-evolving regulatory environment, enabling wealth managers to reduce costs and risk by streamlining operations from front-end to back-office. Composer is our API-enabled wealth management administration system, automating processes and reducing manual effort from the distribution channel to the back office. Our integrated front-end solution for investors and advisers, Catalyst, is a responsive, content driven platform powering personalised experiences and self-service. Digital and User Experience GBST provides a range of digital services and products for the financial services sector. Our digital team combines award-winning web and user experience design expertise with deep knowledge of financial markets and products. Our Equate suite of interactive financial calculators, scenario modellers and ‘what if’ tools help financial services providers attract, onboard, educate and engage customers in a complex and crowded market. Other services include digital strategy, user experience (UX) design, website and app builds and integrations. Digital solutions can be standalone or integrate with other GBST products. Custody Our settlement and asset servicing solution for custodians, Syn~Ops Custody, drives operational efficiency and improves client service. Syn~Ops Custody automates processing settlements and corporate actions workflow across asset classes with multi-currency, multi-entity and multi-region capabilities. It also allows custodians to expand services with client account interest, margin cash and risk adjusted portfolio valuations. Syn~Ops Custody is built on the latest technology with APIs to connect with other systems, cloud hosting for scalability and a chatbot integration to manage exceptions. Middle Office Our middle office solution, Syn~TAC, helps regional and global investment banks and brokers transform office operations and reduce per-trade costs through automation. Syn~TAC processes trades up to the point of clearing across multiple asset classes with multi-currency, multi-entity and multi-region capabilities. It features intelligent tools to manage exceptions, correct errors and enrich trades with settlement and reporting information. Syn~TAC is built on the latest technology with APIs to connect with other systems, cloud hosting for scalability and a chatbot integration to manage exceptions. Institutional Broking We provide cloud optimised post-trade solutions to investment banks, brokers, custodians and clearers for global institutional processing. Our solutions power 8 of the top 12 global investment banks and process $6bn worth of trades daily. Working across multiple asset classes, entities and regions, our middle and back office solutions enable firms to lower operational costs through automation, scale through technology and improve sell-side customer service. The Syn~ suite can automate trade processing from capture to settlement to accounting - and everything in between. Syn~ is a workflow-oriented, exception processing solution which is cloud-ready and API-enabled to support integration and growth. Last Updated: 08/04/2022
GPP CASS Clearing Service Model A Client Onboarding Client Relationship Manager(CRM) Client Reporting Cloud Computing Corporate Actions Custody Data Management Digital Banking Fee or Billing (Client Charges) Fund Management Investment Funds Services ISA Plan Manager & Administrator Middle Office Outsourcing Operations Performance & Attribution Portfolio Management Portfolio Performance Retail Broking Securities Settlement Software as a Service (SaaS) – Bureau Service Wealth Management Trading SITC Company Award SITC Individual Award	Company Name GPP Senior Executive Contact Julian Parker, CEO Sales Contact Tom Wooders tom.wooders@gpp.group Employees: 110 Turnover: £44m Address: 101 Wigmore St, , London Post Code: W1U 1QU Phone No: 020 38261490, Ext. 401 General Description of Company GPP is a multi-award winning financial services firm that provides Investment Administration & Custody, Clearing & Settlements, and Execution services to broker-dealers, wealth managers, family offices and professional traders. GPP prides itself on providing state-of-the-art technology and an institutional strength operational infrastructure, with a focus on tailored client service. \n\n GPP's Execution team acts on behalf of professional clients to execute orders in bonds, equities, ETFs and structured products. We do not take proprietary positions. Our seamless technology connects the team members to clients and to each other, allowing them to operate a 24/5 coverage model. \n\n GPP provides clearing for equities and fixed income securities on a model A basis. This means that as your agent in the market, we act as your trade intermediary, giving you access to global settlement and custody markets via our connectivity to multiple, industry-leading sub-custodians. Our clearing solution is built around a combination of our proprietary, web-based back office platform and in-house operational scale and expertise; the net result being global markets access while at the same time reducing risk and increasing the efficiency of the clearing and settlement process. \n\n GPP offers a seamless, end-to-end solution for discretionary wealth and investment managers. This encompasses client relationship and portfolio management, a white-labelled client portal and app, tailored client reporting, plus access to our established global execution, settlement and custody services. Services Provided Description CASS Clearing Service Model A Client Onboarding Client Relationship Manager(CRM) Client Reporting Cloud Computing Corporate Actions Custody Data Management Digital Banking Fee or Billing (Client Charges) Fund Management Investment Funds Services ISA Plan Manager & Administrator Middle Office Outsourcing Operations Performance & Attribution Portfolio Management Portfolio Performance Retail Broking Securities Settlement Software as a Service (SaaS) – Bureau Service Wealth Management Trading Last Updated: 08/04/2022
Heliocor Ltd Asset Management Client Reporting Middle Office Portfolio Management Private Banking Retail Banking SITC Company Award	Company Name Heliocor Ltd Senior Executive Contact Owen Hall Sales Contact Roisin Hunter roisin.hunter@heliocor.com Solutions Most Suitable For Full range of Financial institutions needing to comply with international and national regulations Employees: 30 Turnover: £2m Address: 20 Birchin Lane, London Post Code: EC3V 9DU Phone No: +44 (0) 20 3006 6405 General Description of Company We take ideas and turn them into real world solutions linked to making finance a safer place to dobusiness in.We are helping to rebuild trust in the financial services industry following the excesses of the lasttwo decades and the banking collapse of 2007 &2008. We use our decades of working of the finance industry, our expertise around regulations and ourcapability in technology to deliver solutions designed to improve monitoring. We use smart ArtificialIntelligence and Machine Learning to search for fraud, to confirm payment are valid, and to ensureyou know who you are really making a payment too. And we do all this whilst cutting cost for finance organisations - so if these companies can savemoney we all save money. Services Provided Description Asset Management Robolitics Cross Asset Cross Regulation Class Monitoring and reporting covering: MiFID 2 Reporting AML Transaction Monitoring PaymentsKYC On Boarding and automated identity checking. Client Reporting Robolitics Cross Asset Cross Regulation Class Monitoring and reporting covering: MiFID 2 Reporting AML Transaction Monitoring PaymentsKYC On Boarding and automated identity checking. Middle Office Robolitics Cross Asset Cross Regulation Class Monitoring and reporting covering: MiFID 2 Reporting AML Transaction Monitoring PaymentsKYC On Boarding and automated identity checking. Portfolio Management Robolitics Cross Asset Cross Regulation Class Monitoring and reporting covering: MiFID 2 Reporting AML Transaction Monitoring PaymentsKYC On Boarding and automated identity checking. Private Banking Robolitics Cross Asset Cross Regulation Class Monitoring and reporting covering: MiFID 2 Reporting AML Transaction Monitoring PaymentsKYC On Boarding and automated identity checking. Retail Banking Robolitics Cross Asset Cross Regulation Class Monitoring and reporting covering: MiFID 2 Reporting AML Transaction Monitoring PaymentsKYC On Boarding and automated identity checking. Last Updated: 29/11/2018
I-Exceed Technology Solutions Retail Banking Digital Banking	Company Name I-Exceed Technology Solutions Senior Executive Contact S Sundararajan Sales Contact Karthik Sivaprakasam karthik.sivaprakasam@i-exceed.com Employees: 300 Turnover: Address: 103 Carnegie Center, Suite 300 Princeton, NJ - 08540 USA Post Code: Phone No: +1 917 693 3207 General Description of Company i-exceed technology solutions private limited is a FinTech company with offices in India, Singapore, and the US. i-exceeds operations are focussed across two major business lines, viz. products (Appzillon) and services (BFSI Consulting Services, Mobility Consulting Services, and Performance Management). With its niche IT products and services, i-exceed serves 50+ customers across 5 continents. i-exceeds flagship offering is Appzillon; an omnichannel application development platform. The platform enables enterprises to realize their digital initiatives while being future ready at the same time. Based on open technologies, Appzillon equips developers with the latest of what technology has to offer to build apps that are functionally complete and designed for high usage adoption. Appzillon generates hybrid apps that are a device, form factor, operating system, and browser agnostic. Services Provided Description Retail Banking Appzillon digital banking. Our Low code platform lets banks and FIs transform their business for the mobile world. Award winning Appzillon platform is powering the digital transformation of more than 60 banks globally including some of the largest banks in the world. Our unique micro app based development framework enables banks to reduce deployment times by more than 60% of conventional tools. Digital Banking Digital banking and omni channel solutions. i exceeds Appzillon powers the digital transformation of more than 60 banks globally. Our solutions cover all aspects of banking such as Retail banking, Corporate banking and wealth management. Our apps are being used by over 2 MM+ customers worldwide Last Updated: 29/11/2018
ICE Risk Management Data Management	Company Name ICE Senior Executive Contact Jeff Sprecher Sales Contact Ian Lennon Solutions Most Suitable For Wealth Managers, Asset Managers Employees: 3853 Turnover: $5.83 Bn Address: Milton Gate, 60 Chiswell Street, London Post Code: EC1Y 4SA Phone No: +44 (0) 20 7065 7700 General Description of Company Intercontinental Exchange (NYSE: ICE) is a Fortune 500 company that operates global markets and clearing houses, and delivers information and technology designed to help companies around the world manage risk, access information and raise capital. We serve customers in over 70 countries with a team of world-class employees. We recruit passionate, knowledgeable professionals and offer a collaborative, results-oriented environment where they help build innovative solutions to help our customers thrive in global markets. For us, the mission is simple: to leverage technology and information to solve our customers problems with a relentless focus on efficiency and ingenuity. Services Provided Description Risk Management Strict Membership Criteria. Initial and ongoing conservative membership standards protect your investments and interests.Initial Margin Collateral Requirements: Collateralizing (margining) each and every cleared position upholds market integrity.Continuous Position Monitoring: Positions and margin are monitored throughout the day to ensure risk is effectively managed and available capital efficiencies are realized as the value and size of your positions changes. Intraday Mark to Market Margining: Cleared portfolios are re evaluated on at least a daily basis through settlement of variation margin or mark to market margin. This practice of requiring clearing members to pay their losses on at least a daily basis serves to avoid the accumulation of large losses over time. Data Management Pricing & Analytics: Enhance your intraday, real time decision making.Indices: Enhance your benchmarking and performance measurement process. Reference Data: Manage risk, help meet compliance requirements and maximize operational efficiency. Exchange Data: Leverage scalable, flexible access to unique data from ICE and NYSE's exchanges. Regulatory: Help achieve regulatory compliance and improve operational efficiencies. Data Delivery: Effectively integrate connectivity and desktops solutions for efficient access to market data. Last Updated: 29/11/2018
ICS Financial Systems Asset Management Capital Gains Tax Client Reporting Corporate Actions Data Fees or Billing Middle Office Portfolio Management Private Banking Retail Banking Securities Settlement	Company Name ICS Financial Systems Senior Executive Contact Wael Malkawi, Executive Director Sales Contact wael.malkawi@icsfs.com Employees: 250 Turnover: £20m Address: 2nd Floor Berkeley Square House, Berkeley Square, London Post Code: W1J 6BD Phone No: +44 (0) 20 3319 5448 / +44 (0) 20 8681 5421 General Description of Company A leading provider of modular, universal banking systems with H.Q. in the United Kingdom that caters to the needs of modern financial institutions. ICSFS is dedicated to software development and integration for the banking industry. Its integrated banking and financial software solution, ICS BANKS® consists of complete software suites of a full Digital Banking Platform, Universal, Retail, Wholesale, Corporate, Commercial, Investment, Microfinance, Finance Leasing and Islamic Banking solutions, which serve and support customers across the globe. ICSFS invests in its software suites by utilising modern technology in launching new products, constructing a secured and agile integration, keeping pace with new standards and regulations worldwide, and addressing the complete IT projects’ cycle from initial consultancy to design, development, training, implementation and ongoing maintenance and support. ICS BANKS software suites future-proof banking activities by providing a broad range of features and capabilities with more agility and flexibility, to enrich customers journey experience, hence improving the trust and confidentiality between the customer and the bank. ICS BANKS has always been a pioneer in utilising the latest technology to serve financial institutions. In addition to its embedded Service-Oriented-Architecture (SOA), the system can be deployed on premises or in the cloud. Services Provided Description Example Customers Asset Management In today’s highly competitive and challenging financial services environment, ICS BANKS® Asset & Portfolio Management system helps providing the enterprise-wide asset management solutions. Regardless of the size or complexity of your organization, the system can help you to meet both internal and external regulatory requirements for risk management. ICS BANKS® Asset Management is a comprehensive solution that automates all phases of the investment management process, and manages assets throughout a full life cycle, including: • Asset Management Agreement • Bank Investment Policy & Constraint • Benchmark Recording • Asset Allocation • Risk & Return Analysis • Portfolio Assessment Advantages/benefits of solution over other similar services/systems: ICS BANKS® Investment & Treasury system is flexible software that can accommodate the requirements of any business in the financial services industry while it can be customized to every institution’s specific needs and practices. It is fully customized and easily upgraded for new users, types of instruments and modules. With our investment system, financial institutions can assure that the system will satisfy their present and future needs with reliability. We provide you with fully integrated off –the- shelf products with the value-added capability of tailoring the product to consider local and country specific requirements. Jordan Kuwait Bank (JKB), Bank Al Etihad Capital Gains Tax ICSFS BANKS® Investment System handles A capital gains tax (CGT) functionality on capital gains earned on any investment whether for bank portfolio or on behalf of the customer. The most common capital gains are realized from the sale of stocks, bonds and precious metals. In addition, dividend and interest payment are also entitled for Tax payment. Capital gain tax functionality covers different countries tax implementation with different rates for individuals and corporations. Jordan Kuwait Bank (JKB), Bank Al Etihad Client Reporting ICS BANKS® Investment & Treasury System generates high quality reports that cover most of financial institutions needs in addition to the portfolio statements and trade confirmations. All reports and advices can be saved as PDF, exported to Excel, printed automatically or sent by an email. Jordan Kuwait Bank (JKB), Bank Al Etihad Corporate Actions The strength of ICS BANKS® Corporate Actions Integration module is evidenced not only by the coverage of a wide range of markets but also by the diversity of products and instruments supported. It processes cash income and numerous types of corporate actions including but not limited to coupons payments, dividends, share splits, mergers, and exchanges, in a timely manner in order to protect clients entitlements and to reflect the correct value of their portfolios. ICS BANKS® Investment Corporate Actions Integration module automates: • Fixed income corporate actions • Equities Corporate actions • Cancellation and amendments • IPOs and Private subscriptions • A range of cash and security payout options Jordan Kuwait Bank (JKB), Bank Al Etihad Data ICS BANKS® Investment & Treasury System enables the gathering of investment and asset information in a timely manner to analyze and receive accurate up-to-date feedback and derivatives. It powerfully aggregates investment data from a variety of sources on all types of investment to flexibly translate that data into informed, optimal, risk balanced investment decisions. Jordan Kuwait Bank (JKB), Bank Al Etihad Fees or Billing The solution includes the functionality used to define, calculated and record the fees that will be charged against the customers holding financial instruments with the bank for the services that the firm is providing. The system will handle the charges for any instrument considered as a financial instrument like equities, bonds, mutual funds or any new financial instrument that might rise in the market and the institution will be the custodian for it. ICS BANKS® Investment Safe custody module provides the automations for the calculations, deductions and invoicing the any customized custody fees that includes but not limited to: • Management Fees • Performance Fees • Custody Fess Jordan Kuwait Bank (JKB), Bank Al Etihad Middle Office ICS BANKS® Investment & Treasury system supports front-to-back office activities. Middle office layer within ICS BANKS Investment & Treasury system provides comprehensive risk monitoring that includes limits control, position keeping. Middle office level has real time limit validation for: 1. Dealer Limit 2. Counterparty Group Limit (bank group) 3. Counterparty Country Limit 4. Counterparty Tenor Limit 5. Counterparty Settlement Limit Jordan Kuwait Bank (JKB), Bank Al Etihad Portfolio Management ICS BANKS® Portfolio Management solution is a complete business partner for investment management firms. It is also the industry standard investment management software for Managing Customer Portfolio, Fund Manager, Fund Administrator and Managing Bank Portfolio. With ICS BANKS® performance analytics tools, you can easily determine the sources of portfolio performance and demonstrate to clients how your decisions add value. The system offers a wide range of robust, easy-to-use tools that guarantee effective portfolio management. Jordan Kuwait Bank (JKB), Bank Al Etihad Private Banking ICS BANKS® Investment & Treasury system is flexible software that can accommodate the requirements of any business in the financial services industry from retail banking, corporate banking, private banking to high net worth individual. While it can be customized to every institutions specific needs and practices. It is fully customized and easily upgraded for new users, types of instruments and modules. Jordan Kuwait Bank (JKB), Bank Al Etihad Retail Banking ICS BANKS® Investment & Treasury system is flexible software that can accommodate the requirements of any business in the financial services industry from retail banking, corporate banking, private banking to high net worth individual. While it can be customized to every institutions specific needs and practices. It is fully customized and easily upgraded for new users, types of instruments and modules. Jordan Kuwait Bank (JKB), Bank Al Etihad Securities Settlement ICS BANKS® Investment & Treasury system provides a highly efficient platform for the settlement of transactions for foreign and international securities. ICS BANKS® Investment & Treasury system for post-trade operations helps you efficiently process securities and manage workflow while reducing risk and cost. The software automates operations across the entire transaction life cycle for multiple asset classes and currencies by executing and managing securities transactions with real-time position updates. Securities settlement within ICS BANKS® Investment & Treasury includes: • Transfers of securities • Administration of securities • Matching of free and against payment instructions • Settlement of transactions through transfer of cash and securities • ICSFS BANKS® securities settlement functionality handles the transfer of securities either free of payment or against payment (delivery versus payment). Settlement includes the transfer of money to seller through any settlement instructions including swift MT category 5 in an automated STP manner upon verification of the trade, while the buyer will receive the securities. ICSFS BANKS® securities settlement functionality will automatically update cash account and security portfolio upon deal verification. The system can operate on a real-time gross settlement or net settlement basis. Jordan Kuwait Bank (JKB), Bank Al Etihad Last Updated: 13/05/2023
IMVS Asset Management Capital Gains Tax CASS Client Onboarding Client Relationship Manager(CRM) Client Reporting Corporate Actions Data Fee or Billing (Client Charges) Fees or Billing Investment Management ISA Plan Manager & Administrator Middle Office Other Functionality Portfolio Performance Portfolio Management Risk & Controls Risk Compliance Analytics Securities Settlement Wealth Management SITC Company Award SITC Individual Award	Company Name IMVS Senior Executive Contact John Motley, Director Sales Contact John Motley, Director JohnM@imvs.com Solutions Most Suitable For Asset Managers, Investment Managers, Wealth Managers Employees: 8 Turnover: £500k Address: 31 Caroline Street, Birmingham Post Code: B3 1UE Phone No: +44 (0) 121 622 8222 General Description of Company IMVS was formed in November 2000 following a purchase of a product, its intellectual property rights and the existing team from a company called FAME Computers. IMVS is now wholly owned by the directors, a founding member and all of the current staff. At the time of the purchase, there was a foundation of portfolio administration system. In conjunction with the core team, all of whom have been involved since inception, the product has evolved in line with technological advancement and increased regulation and compliance. From our infancy with a basic portfolio administration system, we now provide a full suite of modules that cover the front to back office functions and primarily targeted at what we would call Private Client Investment Managers & Wealth Managers Services Provided Description Asset Management IMPACT (Front Office): The Front Office module allows Investment/Asset/Wealth Managers to apply, modify and reapply investment models and strategies to clients based on any number of classifications. Decision support is enhanced throughout the analysis screens by an extensive range of filters which can be tailored and include a variety of different graphing tools. Deals can be generated for upload/transmission to any RSP/DMA and are seamlessly integrated with middle and back office for contract note management and on-going settlement. IMVS continues to work closely with Investment/Asset/Wealth Managers to further enhance this sophisticated and powerful Front Office solution which uses browser technology to allow access and usage from any location. • Client Dashboard • Portfolio Modelling (incorporating investment objectives, restrictions etc) • Portfolio Management and review including CGT positions • Portfolio Rebalancing (incorporating investment objectives, restrictions etc) • Portfolio Monitoring • Decision Support (incorporating investment objectives, risk profiles) • Reverse Portfolio • Order generation (including pre-trade compliance) • Performance Measurement – true time weighted or Modified Dietz • Full CGT Calculations APA (Back Office): A single point of entry for the recording and administration of data used in the management of your client portfolios. Screen driven processes ensure that from the moment a client is On-boarded all transactions are processed accurately. Labour intensive back-office tasks are simplified and, seamless integration of data within other modules in the IMVS Solution limit the need for rework and, ultimately reduces cost. • All Cash transactions are processed in a manner providing daily reconciliation in line with CASS 5.5 • Automatic reconciliation with custodians enables adherence to CASS 6.5 rules • Generation of contract notes and other product documentation feed directly to CRM and VOLe (Customer on-line portal) • Income processing accounts for Group 1 and 2 payments for unit trusts and adheres to the Accrued Interest Scheme for interest bearing stocks. UK and SA106 tax schedules are available for inclusion in tax packs. • HMRC reporting on ISAs is facilitated. • Processing of Corporate Events is simplified using a combination of screen driven processes and Event Builders. • Daily Price feed includes Quarter-up prices, exchange rates and benchmarks to ensure client reporting is always up to date. • A range of tailorable reports are available for periodic, end of year and ad-hoc reporting. • Pre and post trade compliance checks for client preferences, restrictions and earmarked cash. • Flexible Fee processing. • Auto-deal building and deal aggregation prior to execution with preferred RSP/DMA • Trading in multiple currencies and accounting provision for currency trades. Capital Gains Tax We are able to offer comprehensive and complete CGT Service for Investment/Asset/Wealth Managers: • Annual CGT Reporting • CGT current view on all client portfolios • Ad hoc CGT position enquiry and reports • CGT ‘what if’ scenario planning CASS CASS requirements for client money and client assets are calculated daily and are reported as required. SREC (Stock Reconciliation): Where the required data files can be obtained from Custodians, CREST Sponsored Membership etc, the data received can be compared to the holdings held on the system via pre-defined depots to perform Stock Reconciliations. On completing the reconciliation eHUB (the Electronic Integration Engine within the database) provides exception details for further investigation, the details will also be included in the RMR (Regulatory Monitoring & Reporting module) for visibility to the Compliance Department. BANKREC (Bank Reconciliations): Where banks offer the facility to upload data, this data can be generated from the system at either regular scheduled intervals or following the completion of processing any transaction that affects a client balance. This is particularly useful where firms operate a pooled nominee for stock and segregated accounts for cash, or where firms use a pooled bank account which operates segregated ledgers (eg. Natwest Clients’ Monies Service). BANKREC allows for simple upload of: • Direct Debit instructions for subscriptions • Payment instructions for Income withdrawals • Dividend payments allocated to clients • Deal settlement In addition, balances can be downloaded and reconciled against the ledgers held for each client and, where bank interest is paid, automatic allocation is available. Client Onboarding eAPP facilitates the increase of FUM by offering on-line client on-boarding for Advisors or individuals. Branded Application forms can be completed by prospects that meet certain risk profiles and models and Third party software such as Verify™ and Sage Pay™ are used to manage AML and bank payments. Once accepted, and the application moved from a prospect to a client status, automatic dealing, and repeat dealing based on further subscriptions is initiated. Client Relationship Manager(CRM) Manage all of your company’s relationships and interactions with your customers and prospects. CRM has document management & client management features to give the user a complete picture of the available clients. Events can be logged against a contact and appointments sent to their own calendar. All documentation can be assigned to a contact and then retrieved giving the user ultimate convenience. Enhanced letter writing abilities enable report packs to be included with letters. Periodic or ad-hoc report packs are generated, collated and printed or sent to the on-line portal, depending on the client's preferences. • Letter Writing • Event Management & Calendar Integration • Document Management • Client Management • Enhanced Letters & Report Packs Client Reporting APA currently contains a total of 60 Generic Client Reports which include: • Valuations • Transactions – Stock and Cash • Income Tax Schedules and Certificates • Contract Notes and Summaries • Custody • Commission • Performance • Realised & Unrealised Gains • Fee calculations • Combined performance and valuation There is a vast amount of data the APA database which may be reported upon directly from APA, via our Management Information and Compliance Monitoring (MICM) module or extracted via other methods i.e. into Excel for further analysis. Management Information available in reporting format includes:- • Assets Under Management by Service type, Source of Business, Introducer/Consultant • Holdings Analysis by Asset Class • Holdings Breakdown & Analysis by Market Category/Sector • Commission & Charges Analysis • In addition to the pre-defined reports, APA has a Data Export facility with currently 35 available exports (this list is frequently enhanced upon request) • Regulatory reports are available and include • ISA plan management statistical and annual returns • EUSD Section 17 and 18 Income reporting • Information is provided by the system for inclusion in the CMAR and GABRIEL reports • APA allows for the storage of any client information via free format client note records. Where regulatory requirements are introduced, IMVS may offer full functionality to support the regulation. Corporate Actions APA processes all corporate actions and reporting in line with the current regulations. Data Our services can be configured to schedule the production and transmission of data to external providers and other Third Parties alleviating the need for human intervention. Data is transmitted and, based on the data received in the response files re-submission, where appropriate, is fully automated. Some of the current third parties include: • Unavista (MiFIR Transaction Reporting) • Financial Express (FE) • Curtis Banks • CoFunds • ICE • James Hay • Liberty • Utmost • A J Bell • Canada Life • IOMA • Suffolk Life Fee or Billing (Client Charges) We provide our customers with the configuration and functions to define and apply the fees that they charge to their client accounts including but not limited to: • Trade Charges: Comprehensive charging options including commissions (including sharing), flat fees, market fees, FX. • Management fees • Administration/custody charges • Third party fees • Scheduled calculations • Pre-posting checking report • Posting into accounts • MI and interfacing options • White labelled fee advice reports • Overrides for charging all fees for a family grouping to a single, specified account Fees or Billing We provide our customers with the configuration and functions to define and apply the fees that they charge to their client accounts including but not limited to: • Trade Charges: Comprehensive charging options including commissions (including sharing), flat fees, market fees, FX. • Management fees • Administration/custody charges • Third party fees • Scheduled calculations • Pre-posting checking report • Posting into accounts • MI and interfacing options • White labelled fee advice reports • Overrides for charging all fees for a family grouping to a single, specified account. Investment Management IMPACT (Front Office): The Front Office module allows Investment/Asset/Wealth Managers to apply, modify and reapply investment models and strategies to clients based on any number of classifications. Decision support is enhanced throughout the analysis screens by an extensive range of filters which can be tailored and include a variety of different graphing tools. Deals can be generated for upload/transmission to any RSP/DMA and are seamlessly integrated with middle and back office for contract note management and on-going settlement. IMVS continues to work closely with Investment/Asset/Wealth Managers to further enhance this sophisticated and powerful Front Office solution which uses browser technology to allow access and usage from any location. • Client Dashboard • Portfolio Modelling (incorporating investment objectives, restrictions etc) • Portfolio Management and review including CGT positions • Portfolio Rebalancing (incorporating investment objectives, restrictions etc) • Portfolio Monitoring • Decision Support (incorporating investment objectives, risk profiles) • Reverse Portfolio • Order generation (including pre-trade compliance) • Performance Measurement – true time weighted or Modified Dietz • Full CGT Calculations APA (Back Office): A single point of entry for the recording and administration of data used in the management of your client portfolios. Screen driven processes ensure that from the moment a client is On-boarded all transactions are processed accurately. Labour intensive back-office tasks are simplified and, seamless integration of data within other modules in the IMVS Solution limit the need for rework and, ultimately reduces cost. • All Cash transactions are processed in a manner providing daily reconciliation in line with CASS 5.5 • Automatic reconciliation with custodians enables adherence to CASS 6.5 rules. • Generation of contract notes and other product documentation feed directly to CRM and VOLe (Customer on-line portal). • Income processing accounts for Group 1 and 2 payments for unit trusts and adheres to the Accrued Interest Scheme for interest bearing stocks. UK and SA106 tax schedules are available for inclusion in tax packs. • HMRC reporting on ISAs is facilitated. • Processing of Corporate Events is simplified using a combination of screen driven processes and Event Builders. • Daily Price feed includes Quarter-up prices, exchange rates and benchmarks to ensure client reporting is always up to date. • A range of tailorable reports are available for periodic, end of year and ad-hoc reporting. • Pre and post trade compliance checks for client preferences, restrictions and earmarked cash. • Flexible Fee processing • Auto-deal building and deal aggregation prior to execution with preferred RSP/DMA • Trading in multiple currencies and accounting provision for currency trades ISA Plan Manager & Administrator The system provides the relevant tools for ISA Administration including compiling the necessary HMRC returns. Middle Office Order management and trading facilities within our systems simplifies the process of investment decisions. Orders are captured, bulked where appropriate, enriched with charges. A comprehensive suite of pre and post compliance tools ensure that all transactions are vetted against client specific, soft and hard investment restrictions and accounts are monitored for drift against risk mandates. Other Functionality Our Management Information and Compliance Monitoring (MICM) module facilitates the requirement for early warnings for potential breaches or unusual events, and can be tailored to provide alerts at specific stages of your escalation process. Portfolio Performance Portfolio performance is measured through one of two methodologies either Modified Dietz or True Time Weighted and can be displayed in a number of ways to suit your managers. Portfolio Management IMPACT (Front Office): The Front Office module allows Investment/Asset/Wealth Managers to apply, modify and reapply investment models and strategies to clients based on any number of classifications. Decision support is enhanced throughout the analysis screens by an extensive range of filters which can be tailored and include a variety of different graphing tools. Deals can be generated for upload/transmission to any RSP/DMA and are seamlessly integrated with middle and back office for contract note management and on-going settlement. IMVS continues to work closely with Investment/Asset/Wealth Managers to further enhance this sophisticated and powerful Front Office solution which uses browser technology to allow access and usage from any location. • Client Dashboard • Portfolio Modelling (incorporating investment objectives, restrictions etc) • Portfolio Management and review including CGT positions • Portfolio Rebalancing (incorporating investment objectives, restrictions etc) • Portfolio Monitoring • Decision Support (incorporating investment objectives, risk profiles) • Reverse Portfolio • Order generation (including pre-trade compliance) • Performance Measurement – true time weighted or Modified Dietz • Full CGT Calculations. APA (Back Office): A single point of entry for the recording and administration of data used in the management of your client portfolios. Screen driven processes ensure that from the moment a client is On-boarded all transactions are processed accurately. Labour intensive back-office tasks are simplified and, seamless integration of data within other modules in the IMVS Solution limit the need for rework and, ultimately reduces cost. • All Cash transactions are processed in a manner providing daily reconciliation in line with CASS 5.5 • Automatic reconciliation with custodians enables adherence to CASS 6.5 rules • Generation of contract notes and other product documentation feed directly to CRM and VOLe (Customer on-line portal) • Income processing accounts for Group 1 and 2 payments for unit trusts and adheres to the Accrued Interest Scheme for interest bearing stocks. UK and SA106 tax schedules are available for inclusion in tax packs. • HMRC reporting on ISAs is facilitated • Processing of Corporate Events is simplified using a combination of screen driven processes and Event Builders • Daily Price feed includes Quarter-up prices, exchange rates and benchmarks to ensure client reporting is always up to date • A range of tailorable reports are available for periodic, end of year and ad-hoc reporting • Pre and post trade compliance checks for client preferences, restrictions and earmarked cash • Flexible Fee processing • Auto-deal building and deal aggregation prior to execution with preferred RSP/DMA • Trading in multiple currencies and accounting provision for currency trades. Risk & Controls Areas covered include: • Records & Audit • Customer Checking • GDPR • CASS • Reconciliations • Best execution monitoring (report and formal review) Risk Compliance Analytics Our Management Information and Compliance Monitoring (MICM) module facilitates the requirement for early warnings for potential breaches or unusual events, and can be tailored to provide alerts at specific stages of your escalation process. Securities Settlement We provide links to Crest through 3rd party providers either directly or through a sponsored membership agreement. Wealth Management IMPACT (Front Office): The Front Office module allows Investment/Asset/Wealth Managers to apply, modify and reapply investment models and strategies to clients based on any number of classifications. Decision support is enhanced throughout the analysis screens by an extensive range of filters which can be tailored and include a variety of different graphing tools. Deals can be generated for upload/transmission to any RSP/DMA and are seamlessly integrated with middle and back office for contract note management and on-going settlement. IMVS continues to work closely with Investment/Asset/Wealth Managers to further enhance this sophisticated and powerful Front Office solution which uses browser technology to allow access and usage from any location. • Client Dashboard • Portfolio Modelling (incorporating investment objectives, restrictions etc) • Portfolio Management and review including CGT positions • Portfolio Rebalancing (incorporating investment objectives, restrictions etc) • Portfolio Monitoring • Decision Support (incorporating investment objectives, risk profiles) • Reverse Portfolio • Order generation (including pre-trade compliance) • Performance Measurement – true time weighted or Modified Dietz • Full CGT Calculations APA (Back Office): A single point of entry for the recording and administration of data used in the management of your client portfolios. Screen driven processes ensure that from the moment a client is On-boarded all transactions are processed accurately. Labour intensive back-office tasks are simplified and, seamless integration of data within other modules in the IMVS Solution limit the need for rework and, ultimately reduces cost. • All Cash transactions are processed in a manner providing daily reconciliation in line with CASS 5.5 • Automatic reconciliation with custodians enables adherence to CASS 6.5 rules • Generation of contract notes and other product documentation feed directly to CRM and VOLe (Customer on-line portal) • Income processing accounts for Group 1 and 2 payments for unit trusts and adheres to the Accrued Interest Scheme for interest bearing stocks. UK and SA106 tax schedules are available for inclusion in tax packs • HMRC reporting on ISAs is facilitated • Processing of Corporate Events is simplified using a combination of screen driven processes and Event Builders • Daily Price feed includes Quarter-up prices, exchange rates and benchmarks to ensure client reporting is always up to date • A range of tailorable reports are available for periodic, end of year and ad-hoc reporting • Pre and post trade compliance checks for client preferences, restrictions and earmarked cash • Flexible Fee processing • Auto-deal building and deal aggregation prior to execution with preferred RSP/DMA • Trading in multiple currencies and accounting provision for currency trades Last Updated: 13/05/2023
Infront Asset Management Market Data Portfolio Management Digital Banking News & Media Risk Compliance Analytics Trading Treasury Management Wealth Management Investment Banking SITC Company Award	Company Name Infront Sales Contact Ricky Strachan ricky.strachan@infrontfinance.com Employees: 500+ Turnover: 75.5 million EUR (2019) Address: Becket House, 36 Old Jewry 6th floor, London Post Code: EC2R 8DD Phone No: +44 (0) 20 3829 5031 General Description of Company Financial professionals across Europe and South Africa rely on Infront for flexible financial market solutions. We offer a powerful combination of global market data, electronic trading, news, and analytics and integrated solutions for data feeds, portfolio management, advisory and regulatory compliance as well as publication and distribution solutions. Our solutions serve 3,600 customers with over 90,000 professional users. With support for their complete workflow, financial professionals can manage investment decisions, reduce costs, adapt to fast-changing market requirements and work more efficiently with ever-increasing amounts of information – quickly, easily and flexibly. More than 500 employees in 13 countries across Europe and South Africa apply their expertise to meet the challenges of our clients, ensuring they continuously receive the best solutions and services. Infront is listed on the Oslo Stock Exchange. Services Provided Description Example Customers Asset Management Global market data, news, advanced analytics and trading capabilities The Infront Professional Terminal combines global market data, news, advanced analytics and trading capabilities in one intuitive solution. With fast and powerful search, analytics and alert tools, you can cut through the noise and gain unique market insight for better investment decisions. Access information on more than 10 million instruments from 120 exchanges around the globe and over 750 other data sources, just for a start. Data and analytics, peer analysis, reports and models, market analysis The Infront Analytics platform offers advanced analytics for better investment decisions. With Peer Tracker you can build peer groups using industry classifications. Market Screener offers powerful multi-criteria screening tools so that you can filter the database according to your own criteria (universe, industry or financial). Planning, realising, controlling and reporting portfolios The Infront Portfolio Manager supports all process steps in portfolio management, from planning through implementation to controlling. You get wide-ranging chart, trend and security analyses, definition of own indicators and dealing systems, options for quantitative analysis, and flexible customer reporting, plus comprehensive support for the new minimum compliance requirements. Quality real-time financial data in your own applications and processes The Infront Data Manager solutions give you up-to-the minute price data, key figures, master data and business news via one connection directly in your own systems. Access approx. 120 stock exchanges, 35 futures and commodities exchanges, 180 OTC contributors and more than 500 capital management and investment companies. Portfolio risk management and valuation With the Infront Portfolio Risk Service you can measure risk at portfolio level as well as at individual product level. Risks are measured for normal market conditions and periods of market stress, using the Infront Portfolio Risk Service together with your own portfolio management system or the Infront Portfolio Manager. Infront Valuation Services give you quantitative analyses for the rapid acquisition of complex product structures. You get everything from a single source: master and price data, key figure calculations, document creation, interfaces and distribution. London Stock Exchange, Davy Group, Winterflood Securities, GHC, Ramsey Crookall, James Sharp & Co., CBOE, Deutsche Bank, Goldman Sachs, Svenska Handelsbanken Market Data Global market data, news, advanced analytics and trading capabilities The Infront Professional Terminal combines global market data, news, advanced analytics and trading capabilities in one intuitive solution. With fast and powerful search, analytics and alert tools, you can cut through the noise and gain unique market insight for better investment decisions. Access information on more than 10 million instruments from 120 exchanges around the globe and over 750 other data sources, just for a start. Quality real-time financial data in your own applications and processes The Infront Data Manager solutions give you up-to-the minute price data, key figures, master data and business news via one connection directly in your own systems. Access approx. 120 stock exchanges, 35 futures and commodities exchanges, 180 OTC contributors and more than 500 capital management and investment companies. Portfolio Management Planning, realising, controlling and reporting portfolios The Infront Portfolio Manager supports all process steps in portfolio management, from planning through implementation to controlling. You get wide-ranging chart, trend and security analyses, definition of own indicators and dealing systems, options for quantitative analysis, and flexible customer reporting, plus comprehensive support for the new minimum compliance requirements. Portfolio risk management and valuation With the Infront Portfolio Risk Service you can measure risk at portfolio level as well as at individual product level. Risks are measured for normal market conditions and periods of market stress, using the Infront Portfolio Risk Service together with your own portfolio management system or the Infront Portfolio Manager. Infront Valuation Services give you quantitative analyses for the rapid acquisition of complex product structures. You get everything from a single source: master and price data, key figure calculations, document creation, interfaces and distribution. Digital Banking Digitize your investment services with customizable widgets Equip your private investor clients with powerful online electronic trading services in your existing infrastructure and increase your order flow. Support multi-asset trading, customize access to global market data, and include your proprietary content all in the same platform. Modern, easy-to-deploy desktop, web and mobile apps, back-office integration, order validation and web-based user administration tools give you fully managed, cost-efficient and customer-driven trading solutions. The Infront Web Trader caters to your clients who actively invest. This HTML5 web application allows customers to quickly discover, analyze and trade on market data in your environment. With the Infront Web Toolkit you can provide your retail clients with quality market data and trading functionality on your website. The Infront Web Toolkit is flexible and easy to configure, with embedded widgets for market data, analytics, proprietary data, trading and portfolio components that are easily designed to reflect your brand and customized to meet your customers' needs. Connect to other financial systems and trading networks With Infront Connect you can stay connected to order management systems, portfolio management systems, back office systems, Algo providers and trading networks. Our interfaces include FIX, FIXATDL and XML together with standardized APIs. Web-based tools for the entire securities advisory process The Infront Advisory Solution is tailored to the needs of relationship managers and advisors and covers all stages of the securities advisory process. The web-based Portfolio Management module gives you access to market data, news, and client portfolios so that you can provide actionable investment advice wherever you are. The Advisory Process module makes it easy to record and edit the master data of your clients and prospects in accordance with MiFID. Asset analysis and portfolio simulation make investment decisions transparent for your clients, and you can generate Product Information Sheets required by law as well as investment advice documentation that meets all regulatory requirements. News & Media Market data, charting, valuation, portfolio monitoring, documentation, compliance The Infront Investment Manager covers real-time intraday as well as historical (tick) price data with market data widgets, watchlists, portfolios and our widely used “vwd pages”. Other data packages include fundamentals, estimates and analytics, macroeconomic and money market data. Digitize your offer with real-time data in your own environment With the Infront Web Toolkit you can provide quality market data in your own digital environment. The Infront Web Toolkit is flexible and easy to configure, with embedded widgets for market data, analytics, proprietary data, trading and portfolio components that are easily designed to reflect your brand and customized to meet your company’s needs. Quality real-time financial data in your own applications and processes The Infront Data Manager solutions give you up-to-the minute price data, key figures, master data and business news via one connection directly in your own systems. Access approx. 120 stock exchanges, 35 futures and commodities exchanges, 180 OTC contributors and more than 500 capital management and investment companies. Risk Compliance Analytics Quality real-time financial data in your own applications and processes The Infront Data Manager solutions give you up-to-the minute price data, key figures, master data and business news via one connection directly in your own systems. Access approx. 120 stock exchanges, 35 futures and commodities exchanges, 180 OTC contributors and more than 500 capital management and investment companies. Portfolio risk management and valuation With the Infront Portfolio Risk Service you can measure risk at portfolio level as well as at individual product level. Risks are measured for normal market conditions and periods of market stress, using the Infront Portfolio Risk Service together with your own portfolio management system or the Infront Portfolio Manager. Infront Valuation Services give you quantitative analyses for the rapid acquisition of complex product structures. You get everything from a single source: master and price data, key figure calculations, document creation, interfaces and distribution. Digitization of regulatory requirements The Infront Template Manager automates creation and administration of regulatory documents such as product information sheets (PIBs), basic information sheets (PRIIP-KIDs), final term sheets and all documents relating to your individual products and their presentation. You get everything from a single source: master and price data, key figure calculations, document creation, interfaces and distribution- Global market data, news, advanced analytics and trading capabilities The Infront Professional Terminal combines global market data, news, advanced analytics and trading capabilities in one intuitive solution. With fast and powerful search, analytics and alert tools, you can cut through the noise and gain unique market insight for better investment decisions. Access information on more than 10 million instruments from 120 exchanges around the globe and over 750 other data sources, just for a start. Trading Global market data, news, advanced analytics and trading capabilities The Infront Professional Terminal combines global market data, news, advanced analytics and trading capabilities in one intuitive solution. Execute trades electronically with over 600 global counterparties across multiple asset classes. Digitize your investment services Equip your private investor clients with powerful online electronic trading services in your existing infrastructure and increase your order flow. Support multi-asset trading, customize access to global market data, and include your proprietary content all in the same platform. Modern, easy-to-deploy desktop, web and mobile apps, back-office integration, order validation and web-based user administration tools give you fully managed, cost-efficient and customer-driven trading solutions. The Infront Web Trader caters to your clients who actively invest. This HTML5 web application allows customers to quickly discover, analyze and trade on market data in your environment. With the Infront Web Toolkit you can provide your retail clients with quality market data and trading functionality on your website. The Infront Web Toolkit is flexible and easy to configure, with embedded widgets for market data, analytics, proprietary data, trading and portfolio components that are easily designed to reflect your brand and customized to meet your customers' needs. Connect to other financial systems and trading networks With Infront Connect you can stay connected to order management systems, portfolio management systems, back office systems, Algo providers and trading networks. Our interfaces include FIX, FIXATDL and XML together with standardized APIs. Treasury Management

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