Investor Compliance

With Finomial’s Investor compliance, your complex rules are built right into the software, and the workflow simplifies the process both for your investors and for your team.

Investor Compliance

Finomial Investor Compliance digitally transforms AML and KYC with a single, integrated platform for AML list monitoring (including integration with LexisNexis Bridger and Thomson Reuters World Check), cleansing, and remediation. 

Investors prompted to collaborate with their manager, enabling both parties to create a faster and more accurate KYC workflow. Finomial helps you to ensure compliance, stay ahead of the latest regulations, reduce errors, and speed reporting – so you can focus on accelerating revenue.

benefits-image

KYC (Know your customer)

Use the configurable rules engine to set KYC documentation requirements based on the investor type, jurisdiction and investment vehicle, and then automate the outreach to investors for missing or expired documentation.

benefits-image

Anti Money Laundering (AML)

Integrate with your third party AML data providers, including LexisNexis Bridger and ThomsonReuters WorldCheck for a single place to review and remedy hits, and to escalate reviews when needed.

benefits-image

FATCA & CRS across Jurisdictions

Review indicia, and automate the process of requesting the required curing documents directly on the platform. The rules engine determines investor reportability by jurisdiction, based on investor type, fund jurisdiction and regulatory authority to ensure FATCA and CRS compliance.

  • Generate XML files to the exacting requirements of each jurisdiction, resolve data quality issues, and file electronically.
  • Use the reporting dashboard to prioritize and execute on filing deadlines.

benefits-image

Tax & Self-Certifications

Finomial offers W-forms and fully customizable self-certifications, which you can request from investors automatically, based on the date of the documents you have on file. Automatically generate online tax form and self-certification requests; track receipt; review documents; and follow-up on outstanding items. Harvest the data provided by investors on the forms directly into the database, eliminating manual data entry and improving accuracy.

benefits-image

Investor Diligence Workflows

Customizable workflows enable you to perform diligence on investors, with an integrated review of data and documents across every regulation, including AML, KYC, FATCA, and CRS, across jurisdictions.

benefits-image

Event-Driven Compliance

Based on your policies, ensure investor compliance status is reviewed with new transactions, redemption/withdrawal requests, changes in circumstance, and at established intervals.

benefits-image

Four-Eye Workflow

Comply with the highest standards, ensuring that regulatory certification requirements are upheld

Want to know more about how Finomial’s Investor compliance can work for you? Contact our team today