Universe List

1. What Is a Universe List?

A Universe List is a curated group of securities you define for a particular purpose. You can create:

• Compliance Lists (e.g., UK‑compliant securities, restricted securities)
• Opportunity Lists (e.g., “Asia Small Cap” or “Risk Lovers”)
• Strategy Lists (e.g., “ESG Focus,” “Dividend Payers”)

Once created, these lists can be reused when building model portfolios or applying compliance rules.

2. Where to Find Universe Lists

1. Go to My Account
2. Select Company
3. Click on Universe Lists

Here, you will see any existing lists and options to create or import new ones in bulk.

3. Creating a New Universe List

You have two ways to create a new list:

1. New List (Manual or Spreadsheet Import)

   • Click on Actions → New List.
   • Give your list a Name (e.g., “Asia Small Cap”) and an optional Description.
   • Import from Spreadsheet: Upload a file containing ISINs, securities names, and other data. (A sample file is available if you’re unsure of the format.)
   • Add Security / Product Manually: Type the name or ISIN of a security you want to include.

2. Bulk Import

   • Click on Actions → Bulk Import.
   • Follow the steps to upload a file that creates multiple lists at once, or a single large list with multiple securities.
   • You can download a sample example file for reference.

4. Editing or Removing an Existing List

1. Locate the Universe List you want to change.
2. Click the three dots (⋮) on the right side.
3. Choose:
   • Edit to rename, add, remove, or modify securities and descriptions.
   • Remove to delete the list entirely.
   • Export if you want to download and save the list externally.

5. Using a Universe List in Model Portfolios

You can tie your Universe Lists directly into your investment strategy when creating or editing model portfolios:

1. Go to My Account → Company → Model Portfolios.
2. Click on Actions → New Model Portfolio (or Edit an existing portfolio).
3. look for the Universe List field in the form.
4. Select one of your previously created Universe Lists.
   • This restricts the securities you can add to the model portfolio to only those in that list.
   • Useful if you want to ensure compliance (e.g., only UK‑approved securities) or maintain a specific theme (e.g., “Asia Small Cap”).

6. Compliance Notes & Flagging

• If a security is not accepted for distribution or violates specific rules, InvestGlass flags it.
• By leveraging Universe Lists, you can avoid adding flagged or non‑compliant securities to client portfolios.