WARNING : InvestGlass SA  is not legal advisor. The following content does not represent a legal advice. We recommend that you consult your own legal counsel to understand and comply your firm with regulations. InvestGlass is not an investment advisor, broker or dealer and therefore does not participate in the offer, sale or distribution of securities, nor does it provide any investment advice. InvestGlass can not guarantee suitability and appropriateness. 


You can check pre trade and pre advice from InvestGlass flags. InvestGlass presents three types of messages : 

🚫 Forbidden
⚠️ Warning
✔️ No warning

Pre advice - Flags and definition

Company - Compliance List > 🚫 A security is not included into the list and should not be distributed. 

Company - Strategy or Model Portfolio > ⚠️ Weights are not respecting the limit of the strategy or model portfolio. Please not that each portfolio has his own drift tolerance level.  When you use rebalancing tools from Model portfolio you will find suitability flags in the CSV file you export. 

CRM - Customer's KYC > ⚠️ Weights are not respecting the limit of the client tolerance or mandate. Please not that each client has his own drift tolerance level.  

CRM & CMS - Hyper target with relevancy > ✔️ If tag is similar between a security and a client tag. If Client tag is marked as "excluded" High Yield and a Security is tagged as high yield then you will find a warning ⚠️  sign. This tool is very helpful if you have limited access to data feed but you wish to apply a more specific limit. 


In the CRM you will find for each individual the following tags : 

Security

Maximum Daily Volatility

Maximum Daily Value at Risk

Maximum Drawdown

Leverage Authorized

Inducement Authorized

non ISIN security Authorized

Portfolio

Preferred Stop Loss

Preferred Take Profit

Minimum Securities per Portfolio

Maximum Security Allocation

Maximum Issuer Concentration

Maximum Product Participation

Maximum SRRI

Preferred Yearly Volatility

Maximum Drawdown

Minimum Bond Rating

Preferred Strategy - Industries

Preferred Strategy - Asset Classes

Preferred Strategy - Currencies

Preferred Strategy - Countries

Must Hold Securities

Excluded Investment Products

MIFID Opt-Out

MIFID Opt-Out

MIFID Opt-Out Explanation

LSFIN / KAG-CH Opt-Out

LSFIN / KAG-CH Opt-Out

LSFIN / KAG-CH Opt-Out Explanation

Please note that these tags can be applied to a PORTFOLIO too - this is InvestGlass -  Asset management view. Please contact us to activate this view.

InvestGlass also has a Large Transaction Warning Thresholds which will warn compliance officer when amounts are about the limit you will setup. This function can be found in (Go to My Account / Go to Company / Go to Setup)


Pre Trade Rules

Pre trade rules can be set to warn relationship managers or users to prevent trade transmission. Rules are setup with InvestGlass team support.

Authorized Person

The order giver is listed as an authorized person. 

Product or Security Type

This condition will be met if an order uses the specified product (asset class)  or security type.

Max size Order

Trading limits by order giver/by asset class/by currency.

Authorized Counterparties

Is the counterparty chosen to execute the order authorized by the fund.

UCITS/RAIF/SIF Compliance

No Negative Cash, Concentration of Symbol, Concentration of Product or Security

Custom Trading Hours

This condition will be met if an order is submitted within the specified time range. The associated time in force specifies how long  the rule will remain active

Cross Trades

This condition will be met if a pre-arranged crossing order is submitted.

Orders by Side

This condition will be met if an order using the specified order side (Buy, Sell, Sell Short or All) is submitted.

Days to Expiration

This condition will be met if the number of days to expiration for the contract meets the specified "relation" criteria, e.g. if criteria  states number of days to expiration is less than 5, and the contract expires in 4 days, trade will be rejected.

KYC Check Suitability

Buy / Compliance List / Not to hold / Not to sell  Authorised Country

Authorised Currency  Authorised Industry  Authorised Market Place  LEI / ISIN

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