Create a Restriction
  • 11 Jan 2021
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Create a Restriction

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The pre-trade compliance tool is designed to store and apply position and pre-trade checks.

Rules are set via contact suitability and compliance list.

Client restrictions via Suitability

The suitability tool is activated for each contact. If you work with InvestGlass suitability you will find the following rules

  • Security
  • Maximum Daily Volatility
  • Maximum Daily Value at Risk
  • Maximum Drawdown
  • Leverage Authorized
  • Inducement Authorized
  • Non-ISIN 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
  • Minimum Cash Allocation
  • Top 5 should not be more than
  • Short Selling
  • Spot any position above 10%
  • Authorised to send trades
  • Night shift allowed
  • 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

These restrictions can be adapted to your pre-trade compliance needs. We also work with partners such as Indigita BRP which apply different rules.

Compliance list

  1. Go to my account
  2. Go to company
  3. Go to compliance list

From here you can load a list of securities compliant for a client or a portfolio.

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