investment planning cycle (planplus) - befektetéstervezés életciklusa

8/7/2019 Investment Planning Cycle (Planplus) - Befektetstervezs letciklusa

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Investment Planning

With Automated Account Opening

We can help you streamline your advisor experience

Your integration partner


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Investment Planning With Automated Account Opening

When you combine amazing investment planning and automated account opening in PlanPlus PlanitTM

what do you have ecstatic advisors and compliance officers!

The PlanPlus PlanitAccount Opening Module is a combination of interfaces and features that allows

the application to feed into your existing account opening processes or programs. PlanPlus Planitwill

not create accounts in other systems, but it will feed those systems with what they need to know to

open the accounts quickly and compliantly.

Step 1: Client Profiling

PlanPlus Planitcan provide firms with

the best tool in the industry today to

properly profile clients and generate

world-class Investment Policy

Statements.

By partnering with firms like

FinaMetrica the industry leader in

psychometric risk profiles andMorningstar to create a comprehensive

product catalogue that is updated

daily, you can be confident in a best-in-class solution. We believe the first step with a client is good

advice execution follows!

Now PlanPlus takes it to the next level by integrating client proposals you can rely on with automated

account opening to create an unprecedented level of efficiency for your advisors.


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Step 2: Product or Prospectus Risk

Although most regulators are happy to see proper asset allocation and client portfolios that support

appropriate diversification, the reality is that their primary focus is on the suitability of investment

products sold to clients not portfolio design. In a recent study in the UK, the regulator reported

that half of the assessments of unsuitability were confirmed to be on the grounds that investment

selection failed to meet the risk a customer is willing and able to take.

Traditionally a risk profile maps the client into a target asset allocation. PlanPlus Planittakes this

further with a 3 level mapping that includes traditional asset allocation, income versus growth

objectives as well as product risk allocation.

Step 3: Existing AccountsExisting on-book accounts are electronically imported along with known KYC details, allowing PlanPlus

Planitto be used to document a more robust profile.

Create as also allows

advisors to track third partyaccounts at other institutions

or to open new accounts in

your back office or account

opening system.

Additional administrative

details like registration type,

plan administrators, Rep

Ids for processing and more

can be entered.

PlanPlus Planitcan be

configured to automatically

enforce separate portfolios

and a KYC process based on

beneficial owners and account

types to align with the compliance requirements for your back-office.


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Step 4: Security SelectionThe risk level of products can be categorized based on the requirements for your firm or regulator.

This allows recommendations or changes by an advisor to be validated against three levels of

conformity is the portfolio properly diversified by asset classes, does it maintain an appropriate

distribution of defensive and equity products overall, and does the level of risk associated with the

specific products recommended for implementation match the clients profile.

Firms can upload their determination of the prospectus level risk on products taking into account

various factors not only based on the volatility but also structural risks, risk in the underlying holdings,

counterparty risk and more.

Security Section will apply the predefined investment models you have defined. The default

implementation also assumes any third party accounts will be repositioned and invested with you,

allowing the system to automatically recommend all the accounts that are required for the prospect

or client. No need to individually add accounts.

Step 5: Open Accounts/ImplementationFrom the Assets & Liabilities

screen PlanPlus Planitwill utilize

an account opening plugin that

identifies specific requirements for

your account opening payload.

This can be to proprietary account

opening or industry leading third

party packages like Arius Open

Advantage.Firms with the Advanced

Investment Planning (AIP) module

can either pre-populate Adobe

fillable forms or can pass the

required payloads into the account

opening system to complete the

process.

Security selection will monitor changes in the proposed securities for a client ensuring that theportfolio remains properly diversified by asset class and compliant for investment objectives and

product risk, flagging issues before they are proposed to clients.

PlanPlus Inc. (Head Office)55 Mary Street, Suite 200Lindsay, OntarioCanada K9V 5Z6Telephone: 705-324-8001Toll Free: 1-800-364-1293Fax: 705-324-8002

Email: [email protected] site: www.planplus.com

Quebec, CanadaSupport 1-800-601-1762Email: [email protected]

MalaysiaTelephone: 012-3030575

Email: [email protected]

ChinaStar River Century Building11

thFloor, Room 1119

Gangxia, Futian DistrictShenzhen, ChinaTelephone: 8613418665272Email: [email protected]
mailto:[email protected]:[email protected]

investment planning cycle (planplus) - befektetéstervezés életciklusa

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