Question 1

MIFID and LSFIN

Accepted Answer

*** IMPORTANT DISCLIAMER **: 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 does not provide legal advice. This is not a legal advice.  This article is for educational purpose only please consult your own legal advisor.

MIFID and LSFIN

Both regulations are comparing different data sources that you will store in InvestGlass. To make sure that your process is working fine you should first access the data collection to produce the following warning:

Suitability
Appropriateness
Concentration
Stress test
Product Risk Classification (PRC)
Universe list compatibility

You will find here the minimum data required to activate those tools.

Contact data
Account data
Portfolio data
Position data
Strategy data and stress test
Universe list data
Security data
Concentration data

****

1. Contact data

Your InvestGlass CRM will help you to collect data and those fields should be preset and if you don't already have them we suggest you to create the following custom fields to set up the appropriateness inside InvestGlass.

ProductKnowledge Bank - Alternative Investments / Real Estate Funds Bank - Bonds - Distressed Bank - Bonds - Hybrid (Convertible, Coco, CDS) Bank - Commodities & Metals (precious and base) Bank - Digital Assets - Cryptocurrencies (Payment Token) Bank - Digital Assets - Othe

Question 2

Linking Contact to Company

Accepted Answer

|| Warning: This operation can erase existing Contact!

This method is perfect if you are using InvestGlass with NO preset fields or records. We will explain here how to create easily new fields and connect imported contacts to relations.

Go to my account
Go to company
Go to contact
Click on Actions
Click on Bulk Import Contacts
Open your excel file and add in in the first line the following for each column
Tick Yes to the option - Create custom fields for unrecognised columns
Then click Import and Save.

Then it's time to create some companies.

Go to my account
Go to company
Go to custom fields
Go to contact
Click New Edit Company field
Select in Value Set - Default Relations
Click Save

Now contacts are linked to relations. You can check this in Opportunites or in Company / Contact lists.

Question 3

Import contacts

Accepted Answer

Go to My Account
Go to Company
In Contact, click on Actions and click on Bulk Import
Add a blank column Client ID as the first column

Step 4 is important as if you leave it blank it will create a new contact when you import the file. If you use an already existing Client ID, InvestGlass will update the information and erase existing information with new fields.

You can import three types of files.

Investglass CSV format
Outlook CSV format
vCard format

InvestGlass Templates

InvestGlass team can help you with preset themes for wealth and asset management, general business, and shopping CRM. Please contact us for more information about those templates.

If you decide to use InvestGlass without templates, InvestGlass will be empty. To facilitate the creation of fields, we suggest you import your field and select the following options :

* Create custom fields for unrecognized columns*

InvestGlass will use each header to create a new custom field. The field will be by default text fields. If you wish to change them to dropdown, checkbox, date, or text area, go to My Account, Company, Custom Fields.

Import contact with Zapier

To connect InvestGlass to Zapier - please contact us to get a private invitation to Zapier API - InvestGlass bridge. Then this is how you connect InvestGlass with +1500 applications.

Question 4

Import Transactions and Positions

Accepted Answer

From Company

Go to My Account
Go to Company
Go to Global Consolidation
Click on Action to import transactions

From a portfolio - manually

Go to a Portfolio, click on Actions then New Transactions
Click on Transaction and select the transaction type
Select a Security and Click on Select
Type in transaction details and add Fee and Tax if needed
Click Save

You can also import a list of transactions.

Select a portfolio and click on ACTIONS Select Edit
Import Transactions from the Settings. You can download a sample file here too.
Then click on Save

From the Edit / Performance page, you can download a sample file and import performance history with the time-weighted return performance concept. TWR. Then click on Save.

From the API - experts

Please check our API here and contact our team InvestGlass.

From Bank / Custodian feed

InvestGlass team can map your data from several banks and custodians. To perform this task, you, as a regulated body, have to ask your bank or custodian to grant access to a third party IT company. This process can include some additional paperwork and can take time. We suggest you contact us before you start this process to make sure that you will find back into InvestGlass portfolio management the fields you are looking to aggregate.

Question 5

Signatys - Digital Signature

Accepted Answer

Signatys is an eSignature feature added to the InvestGlass portal. Launch eSignature requests directly from your portal.

General

You can use Signatys manually directly from a document or automate the process via InvestGlass's automation. Bear in mind that in order for the process to be launched, two conditions need to be fulfilled:

the contact must have a registered email
the contact must have a registered phone number (mobile phone)

Manual eSignature request

In order to manually launch the e-signature of a document, find the relevant document in the relevant contact, account, or relation, or select it in CRM Documents (My Account – Company – CRM Documents). Once your document is found, click on the three dots at its right and select Request eSignature (Signatys). For further details on how to upload a document, please click here{target="_blank"}.

For a document in a contact, the contact asked to sign is the given one.
For a document in an account, the contact(s) asked to sign have to be selected from the ones connected to the account.
For a document in a relation, the contact(s) asked to sign have to be selected from the ones connected to the relation.
For a document in CRM Documents, the contact(s) asked to sign have to be selected from the ones connected to the document, or, if no contacts are linked, can be selected from the database of contacts.

Once the process is launched, an email will be sent

Question 6

API

Accepted Answer

Introduction

This is the InvestGlass API, where, if you are a registered user, call the functions you and your company already is used to. We at InvestGlass are starting our journey as API providers to offer our customers a smoother and more interoperable service. InvestGlass API provides methods for retrieving data from financial institutions on behalf of clients, advisors, and other users. This documentation includes detailed explanations of API endpoints and common data definitions. Please note that this documentation does not list all API endpoints. Additionally, you may not have access to all of the listed endpoints depending on the services you’ve purchased from InvestGlass.

Making Requests

The base URL for all InvestGlass API requests is https://app.investglass.com/api/v1. The API is built on RESTful principles with resource-oriented URL endpoints. HTTP status codes are used to indicate any API errors and all responses are returned in JSON format. All requests must be made over an HTTPS connection to ensure secure transmission of data. Following a RESTful structure, requests should hit API endpoints using the appropriate HTTP method, which will depend on the desired action.

Method Description

GET Use the GET method to retrieve information about your users, their accounts, and any associated financial data. This will always be a read-only request, so queried objects will never be modified by a GET request.

POST Use a

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