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Ensure Compliance

Compliance & Risk Control in PM1

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Financial institutions must ensure that their risk management functions and processes keep pace with change and plan for compliance with upcoming local, regional, and global regulations. Expersoft continuously works with our clients to ensure that they are able to comply with ever-changing requirements. 

 

By working with industry specialists, PM1 provides a thorough and continuously evolving compliance framework that is not simply a software module, but specialised intelligence woven through all PM1 components, enabling our clients to ensure compliance with all key regulatory requirements.

Compliance Topics

FinSA
  • Sales
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  • Product Management
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  • Administration
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  • Customer Services
  • Apprenticeship
  • Engineering / IT
    Please submit any open application to jobs@expersoft.com.
  • Engineering / IT
    Please submit any open application to jobs@expersoft.com.
  • Product Management
    Please submit any open application to jobs@expersoft.com.
  • Customer Services
    Please submit any open application to jobs@expersoft.com.
  • Administration
    Please submit any open application to jobs@expersoft.com.
  • Sales
    Please submit any open application to jobs@expersoft.com.
  • Administration
    Please submit any open application to jobs@expersoft.com.
  • Customer Services
    Please submit any open application to jobs@expersoft.com.
  • Sales
    Please submit any open application to jobs@expersoft.com.
  • Engineering / IT
    Please submit any open application to jobs@expersoft.com.
  • Product Management
    Please submit any open application to jobs@expersoft.com.
  • Sales
    No current openings
  • Customer Services
    No current openings
  • Engineering / IT
    No current openings
  • Administration
    No current openings
  • Product Management
    No current openings
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  • FATCA
    Full coverage of FATCA data capture FATCA indicia identification & management Automatic resolving of indicia IRS documentation support (i.e W Forms)
  • AnaCredit
    Full coverage of data capture needs Country based legal forms & national IDs Checks of financial & company info Legal proceedings & company Activities Notification for periodic Anacredit reviews
  • AEoI CRS
    Indicia indentification & life-cycle management Controlling Persons management AEoI classification conflicts Documentation life-cycle (ie.self-certifications) Automatic generation of CRS transaction reports
  • MiFID II, MiFIR"
    Full coverage of investor protection Target Market definition at product level Suitability & appropriateness process Knowledge & Experience, Risk Profile Financial Situation & Investment Goals Health checks & pre-trade checks Automatic generation of Transaction Reports Partnership with UnaVista
  • GDPR
    Client consent management Data purposes & authorisation Automatic data legitimacy validation Full coverage of right-to-forget Manual & automatic data clean-up
  • FinSA (FIDLEG/LSFin)
    Domicile-specific Client & Mandate classification Suitability & appropriateness process Client documentation of financial services Suitability assessment reports Investment guidelines and pre-trade checks Product financial data sheets (via third-party providers)
  • Secure Messaging
    Contact purpose not displayed anymore in EBP after the initial purpose selection in Secure Messaging.
  • Rebalancing
    Warning message for pending changes to a Model Portfolio introduced to Rebalancing
  • Ordering OM4, FX,OM3,MM,SEC"
    Configurable link for attaching documents to single orders in the OM4 Dialog box for the assignment of Contact Logs to security orders extended to include additional asset information Validation of the Mutual Funds trading fixed in the OM* Price source logic for security orders in the OM4 enhanced
  • Assets, CRM"
    Qualified investor tab added to the asset master data page Target Market data for Assets can now be set separetly for different CIDs
  • CRM GDPR
    Enhanced management and monitoring of the GDPR jobs
  • CRM, Campaign management, secure Messaging"
    Campaign-only contact purposes
  • Restrictions PLSQL
    Fixed MInimum Investment restriction check
  • EBP Pay
    Display of the ON the last business day of each period. Checkbox now configurable for standing orders. E-banking payment order number added to all payment related places. Single payment currency noq aligned with the debit account currency in EBP.
  • Valuation-old pages
    Information from the Cockpit moved to Valuation page
  • EBP Notifications, EBP Pay, Ordering OM4, Pay"
    New notification in EBP informing the user of executed payments
  • EBP User Management
    Detailed messages about the invalid EBP_USER_ORGANIZATION AppConfig value
  • ADJV, Restrictions, PLSQL"
    Global restriction set assignment introduced
  • EBP
    Show log button available on internal error pages in EBP
  • Banker dashboard
    Improved organization of data in the Clients Financial Overview widget on the common home page.
  • CRM Widgets & Pages
    Portfolio Financial Overview widget extended to provide more detailed insight into the financial performance of listed Portfolios
  • Valuation
    Valuation logic for sub-account security exchange enhanced New Valuation Properties for the transaction-based PnL calculations Valuation Properties list updates to comply with the current Valuation logic
  • Report Statistic Data
    Oracle Reports no longer supported
  • CRM
    New Vulnerability section in the SEGMENTATION widget Fixed performance issues resulting from the migration of input fields to Vaadin 8 Configurable assignment of Organization to Acquisitions New page for the configuration of the EdgeLab stress test scenario visibility
  • ADJV
    Advisory Journey Module introduced
  • CRM Questionnaires
    Check-box to allow multiple answers in Questionnaires added to the Questionnaire configuration Configurable population of the qualified investor information into the KNOWLEDGE AND EXPERIENCE widget
  • CRM Pending items
    Ad-hoc pending item creation now allowed for all types of the CRM Entitites including Person Group
  • Ordering MiFID2 OM2
    Corrected document handling logic for security orders with suitability reports in the OM2
  • Rebalancing
    Portfolio rebalancing calculation enhanced
  • CRM, EBP, Secure Messaging"
    Internal sender information changed in Client Portal Secure Messaging
  • EBP Documents
    Closed Portfolios no longer displayed on the E-Documents page in e-banking by default.
  • Improvement
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  • Improvement
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  • Improvement
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  • Can I insert pictures in my FAQ?
    Yes! To add a picture follow these simple steps: Enter App Settings Click the "Manage Questions" button Click on the question you would like to attach a picture to When editing your answer, click on the picture icon and then add an image from your library
  • Can I insert a video in my FAQ?
    Yes! Users can add video from YouTube or Vimeo with ease: Enter App Settings Click the "Manage Questions" button Click on the question you would like to attach a video to When editing your answer, click on the video icon and then paste the YouTube or Vimeo video URL That's it! A thumbnail of your video will appear in answer text box
  • How do I edit or remove the "FAQ title"?"
    The FAQ title can be adjusted in the settings tab of the App Settings. You can also remove the title by unchecking its checkbox in the settings tab.
  • How do I add a new question?
    To add a new question go to app settings and press "Manage Questions" button.
  • Improvement
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  • Improvement
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  • Improvement
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  • MiFID II, MiFiR"
    Full coverage of investor protection Target Market definition at product level Suitability & appropriateness process Knowledge & Experience, Risk Profile Financial Situation & Investment Goals Health checks & pre-trade checks Automatic generation of Transaction Reports Partnership with UnaVista
  • AnaCredit
    Full coverage of data capture needs Country based legal forms & national IDs Checks of financial & company info Legal proceedings & company Activities Notification for periodic Anacredit reviews
  • FATCA
    Full coverage of FATCA data capture FATCA indicia identification & management Automatic resolving of indicia IRS documentation support (i.e W Forms)
  • AEoI CRS
    Indicia indentification & life-cycle management Controlling Persons management AEoI classification conflicts Documentation life-cycle (ie.self-certifications) Automatic generation of CRS transaction reports
  • FinSA (FIDLEG/LSFin)
    Domicile-specific Client & Mandate classification Suitability & appropriateness process Client documentation of financial services Suitability assessment reports Investment guidelines and pre-trade checks Product financial data sheets (via third-party providers)
  • GDPR
    Client consent management Data purposes & authorisation Automatic data legitimacy validation Full coverage of right-to-forget Manual & automatic data clean-up
  • Improvement
    description
  • Improvement
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  • Improvement
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  • improvement
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  • Improvement
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  • Improvement
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