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  • A flexible, user-configurable front office interface that optimises client enquiry and order management work flows.

    Figaro combines easy-to-use client inception, Know Your Client and CRM tools with comprehensive portfolio and fund management capabilities.

    Other front office functions include enquiry, asset management and real time order creation and management. 

    Configurable: Displays can be configured by user type—i.e., advisor, fund manager, dealer, administrator and compliance officer. (Transactions can be instigated from any display.) Users can drag-and-drop to re-order display columns as they wish and hide or display data from chosen fields. 

    Enquiries: Investment managers can access a complete list of the firm’s clients and view their contact details, account summaries, statement and valuations and contract details. Portfolio performance and order status can also be monitored. Stock search facilities are available. 

    Asset Hierarchy: Users can analyse valuations in hierarchy. Stocks can be viewed by different criteria—i.e., by stock type, country or asset type, for example. Asset Hierarchy analysis enables users to compare client portfolios to model. 

    Buy/ Sell: Securities can be bought or sold instantly, via any screen. On-screen dealing slips or execution-only dealing slips are available, the latter requiring only the critical information for completion. 

    Contract Calculator: provides final totals if the manager knows how many shares he or she wishes to buy. Alternatively, calculations can be made based on the amount to be invested. For an international deal—where the currency of the client settlement and the market currency will probably be different—the exchange rate will be calculated automatically using Figaro’s house rate tables. (Deal values are calculated in the client settlement currency.) 

    OMS: The order management system enables different types of user to see only information which is relevant to their status. Once an order is placed, its status and progress is tracked through a ‘traffic light’ system—e.g. Incepted, Validated; Captured, Not Dealt; Dealt, Signed Off; Contracted; etc.

    Key benefits include:

    • Portfolio valuations and performance analysis
    • User-configurable displays
    • Data in real-time
    • Deal from anywhere
    • Call Centre/ advisor/ fund manager/ dealer/ compliance officer modes
    • Full integration with FigaroWeb and back office functionality
    • Real time portfolio management, modelling and rebalancing 
    • Real time trading/order management
    • Fully automated dealing
    • Bulk trades

    A fully-automated trading and order management solution

    JHC’s fully automated order management functionality enhances the trading experience and meets compliance requirements. From a single application, advisors can manage the entire trading and investment process. A flexible and easy-to-use Order Management System allows users to follow the lifecycle of an order—from placement to contract. Traffic lights show the status of every order, e.g. Incepted, Validated; Captured, Not Dealt; Dealt, Signed Off; Contracted; etc.

    A fully automated dealing process ensures best execution over multiple counterparties (RSPs) through interfaces with IRESS (inc Proquote) and Fidessa and direct links to Winterflood and other execution venues.

    Variable settlement dates can be applied as required, including offsets for buy and sell trades.

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    The insights brokers, wealth managers and platform providers need to develop more personal and rewarding client relationships.

    To meet regulatory requirements and develop more personal and rewarding client relationships, wealth managers and platform providers need instant access to CRM information. JHC’s CRM tools are linked to a comprehensive workflow facility. Tasks, such as making a telephone call or sending an e-mail, can be initiated automatically and assigned to different users where each task progresses through various cycles until it is completed.

    Key functions and benefits of JHC’s CRM tools include:

    • Record and access clients’ profile information, including investment and personal objectives
    • Access to detailed client cash and stock positions, account summaries, portfolios and trading performance
    • Detailed KYC information support ensuring compliance with regulatory requirements—including MiFID and GDPR
    • Support customer acquisition activity through the management and measurement of marketing activity, based on sophisticated yet intuitive data segmentation to target market segments more precisely
    • Instant access to the full range of customer contact events
    • Automatic prompts for forthcoming client notable dates and plan anniversaries
    • All events for a client—including settlement events and contact history—on the CRM dashboard

    Keeping firms compliant and competitive and delivering the easy, swift and efficient onboarding experience that clients have come to expect...

    JHC’s client onboarding capabilities meet the needs of all types of financial institutions—from execution-only firms to UHNW discretionary services. Detailed attention has been paid to each stage of the onboarding cycle, so that the process is agile, seamless, includes all relevant participants and aligns with the firm’s operating model. A template-based approach covers the full spectrum of regulatory checks, although templates can be customised quickly and easily. All onboarding tasks and processes integrate fully with JHC’s tools and platforms..

    Create and Manage Your Process

    Administrators have full control over the digital application forms (templates) and are able to design layouts and add data points through a rich, graphical user interface. Users can specify which personnel are authorised to use which template, ensuring that the onboarding process is tightly managed.

    Additional Oversight

    Using workflows, the system builds an additional layer of assurance. Applications can be passed to authorised users for review and subsequent approval or rejection (supporting the ‘four-eyes principle’) or directly to compliance for checking. Authorised users also have the ability to manually override and approve AML checks that have failed the third party service.

    Smart, flexible, agile

    Having worked in partnership with a range of clients and leveraging our industry experience and technical expertise, we have developed the optimal client onboarding experience—for both the investor and the firm.

    The benefits include:

    • Capture and update all required data for new prospects and clients, automatically creating the associated portfolios and accounts
    • Create customised data fields to capture information bespoke to your needs
    • Complete coverage of data sets required to meet KYC, Suitability and FATCA obligations
    • Fully integrated AML checks through leading third party services, with the ability to manage failed checks
    • Record the receipt of supporting documentation and link to copies in the Document Management Store
    • Capture relationships between clients and their related parties (e.g. IFAs, solicitors, family groups)
    • Define fees and payment schedules
    • Manage client reporting preferences, including frequency, content and distribution channel
    • Initiate the creation of an account on FigaroWeb for online client engagement
    • Add new accounts (e.g. ISAs, SIPPs) to existing clients without re-entry of client data
    • Data validation and auto complete of information (e.g. address lookup)
    • Track the progress of applications and amendments
        

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    Enhanced investment decision-making

    Cost pressures, greater regulation and increasingly complex client mandates provide a challenging operating environment for private client trading and investment firms. By utilising our digital technologies, firms can improve their decision-making and execution process. Whether a wealth manager, family office, stock broker or fund manager, users benefit from advanced modelling capabilities and asset allocation—as well as more effective communication with clients. Model variance and audit trails allow users to reduce the cost of compliance while achieving high levels of straight-through processing.

    Portfolio models can be built at a stock level and attached to both individual clients and client groups. Using a simple graphical reporting tool, managers can compare their individual client portfolio positions with other models and make any necessary adjustments. As all actions—together with their impact upon CGT positions, full CGT exposure—happen in real-time, there are fewer steps in the process and managers enjoy full and immediate control.

    Automated Rebalancing and Order Generation

    JHC’s automated order generating process compares multiple client portfolios against models at both a personal level and at account level. Any asset allocation tolerances that are used to govern rebalancing decisions, can be adjusted as necessary. ‘What if’ calculations are generated automatically based on proposed order positions and orders can be reviewed and edited prior to issue. Switching of stock positions can be performed at a person or product level, on a one-to-many or one-to-one basis.

    Portfolio Performance & Risk Analysis

    Performance tracking tools are available for client and model portfolios, which enable managers to:

    • Analyse performance between specific dates
    • Analysis can be performed within an Asset Hierarchy for Capital Appreciation, Income and Total Return measures
    • Benchmark performance against standard or user-designed indices and/or a relevant model
    • Obtain immediate valuations
    • Full contribution and attribution analysis, using the Brinson-Fachler model, is provided.
    • For risk analysis, Figaro employs (among other volatility measures) the Capital Asset Pricing Model so that users can measure volatility, annualised volatility, average excess return, tracking errors and annualised tracking errors.

      

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    Figaro: giving managers complete control over portfolio management, modelling and rebalancing.

    Portfolio models can be built at a stock level and attached to both individual clients and client groups.To inform and support their decisions, Figaro’s graphical reporting tool enables managers to compare their individual client portfolio positions to established models.

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    Automated Rebalancing and Order Generation

    Figaro provides an automated process for generating orders by comparing the position of multiple client portfolios against attached models. As this can be done at both a personal and account level, managers enjoy the control and flexibility they require. Tolerances can be set against the asset allocation model which drives rebalancing decisions and generates proposed orders for review.

    Figaro automatically produces ‘what if’ CGT calculations based on proposed order positions: orders can then be reviewed and edited before being committed. Similarly, Figaro also provides sophisticated switching functionality—either at a person level or a product level.

    Switching of stock positions is supported on a one-to-many or a one-to-one basis. By performing portfolio modelling, rebalancing and management actions in real-time complete with full CGT exposure, Figaro removes many of the steps in the process.

    Automated workflows manage Suitability reviews across the client book and track progress every step of the way, via the dashboard.

    While suitability issues and regulations are not new, getting to grips with the requirements the subject remains poses considerable a challenges for many financial institutions.

    Using JHC’s automated workflows, JHC’s technology can help firms to can manage their suitability reviews across the client book with minimal effort using automated workflows, with and track progress tracked every step in the process of the way via the a dashboard.

    By combining effective workflows with sophisticated portfolio management tools, JHC’s solutions technology enables managers to meet their suitability obligations without any substantial increase in workload or administration.

    All relevant data is extracted automatically and in a form that can be analysed quickly and easily.

    As well as alleviating easing the compliance burden, Figaro provides additional business insights, improves operational efficiency and reduces the risks to the firm. The platform technology supports the proposed regulatory changes for suitability as part of MIFID II and will continue to evolve as new or amended regulations emerge.
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    Automating the suitability task enables managers to:

    • Review each client’s circumstances at a defined frequency, capturing and processing any necessary changes 
    • Actively monitor portfolios and take appropriate investment actions to retain alignment to mandate and/or model 
    • Ensure investments adhere to client and institutional restrictions 
    • Create a full audit trail by tracking investments made (discretionary and client-commissioned) and capturing investment rationale
    • Gain insight of suitability status across organisation, branch and individual levels 
    • View activities in motion, who’s responsible and identify issues that require immediate attention
    • Escalate issues automatically to management and/or compliance if remedial action has not been completed by the allocated deadline