Articles on: PMS & Investment Tools

Pre-trade check

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

Maximum Daily Volatility
Maximum Daily Value at Risk
Maximum Drawdown
Leverage Authorized
Inducement Authorized
Non-ISIN Authorized
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 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
Go to my account
Go to company
Go to compliance list
From here you can load a list of securities compliant for a client or a portfolio.

Updated on: 08/07/2022