Funds

The Funds configuration menu allows to enter new options for existing dropdowns in the Funds menu.

This is possible for:

– Regimes

– Fund Structures

– Regime Fund Structures

– Fund Document Types

To add a value for one of the above settings, the user needs to press the add button on top of the list:

The user can then add a new value for this category.

Each configuration sub menu has different fields available. But the procedure for adding editing and deleting is always the same: Pressing add button for new values, options menu for editing and deletion.

Regulators

This menu holds a variety of existing regulators. The user can add new regulators via the add button. Deletion and Modification of existing regulators is possible via the option button. It is possible to flag regulators as Is active – no. This prevents non active regulators to be presented in the dropdown values of stakeholders with regards to the regulator.

Risks

The risk section holds the potential risks identified. Risks can be classified in Risk categories.

The user can search for specific risks via the the filter options:

As usual the user can add via the add button. Modification and deletion via options button. Within the Risk details the User can assign a risk to a role and categorise the risk.

Risk category

A risk category can be created via the add button. Modification and deletion of existing risks is possible via the option button

Details will show only the risk category name :

Stakeholder

Within the configuration menu, Stakeholder has 2 sub-categories : General and Roles.

General

With the General menu option the user can the see existing configuration of the stakeholder screen.

Dedicated fields and groups can be configured here for the stakeholder.

A ‘Group’ is a set of fields grouped together. Here for example you see a stakeholder screen with 2 groups, marked in orange:

In the stakeholder configuration menu within the extended fields section you find the two groups:

The order defines the descending order of the groups within the screen

Creating a new group will create a new section in the stakeholder screen. Via ‘Add group’ the user add the group properties first:

As soon as this is saved, the new section shows up on the stakeholder screen.  To define the content of the newly created section, the user needs to add field(s) via the  ‘Add field’ button at the bottom of the screen. This will present a pop-up screen to the user with the preconfigured values for the group.

The user needs to select the group within the field ‘category’ and then add field by field type. For each field it is possible to define whether the field is mandatory or not, what type of entry is expected (text, number, date etc) and any dependencies with other data. Upon saving the new field is added to the section and the user may decide to add additional fields to the section.

All fields created will be shown in the stakeholder screen.

The tab ‘documents’ allows to define documents which regards to stakeholder. New documents can be added via the add button, editing and deleting via the options button.

Roles

For Stakeholders and Individuals there is a requirement to define the role of the stakeholder. A number of roles exist already. The user can add a new role via the add button and edit/delete via the option button.

Within the role definition, several tabs are available:

– General

– Data

– Documents

– Configuration

These tabs can be used to gather more information about the role itself and underlying requirements.

Questionnaire

In this area the existing questionnares are held. To edit an existing questionnaire the option button is available.

FSO is delivered with a standard set of questionaire. New tailormade questionnaires can be set up with the support of the FSO team. Please contact us for more information.

There is a limited possibility to amend existing questionnaires in the UI. Due to the complexity we advise however to contact us prior any modification.

KPI’s

Key Performance Indicators ( KPI’s) provide an instant view of the risk assessment for a stakeholder. KPI’s are set up by role. The user can add new KPI’s via the Add button in the configuration menu for KPI’s:

KPI’s help to evaluate for example answers provided in a questionnaire. The configuration sets the threshold values for answers to be rated as Red/Amber/Green

Per question the thresholds are set. The values can be viewed more easily via the info icon and mouseover like below:

Such configuration can be set against single, multiple oder all questions from the questionnaire. Once questionnaires are received and a step in the workflow refers to KPI’s, the values will automatically be assessed against the KPI configuration and a KPI report becomes available.

Workflow Template

FSO provides the possibility to set up a tailormade workflow for stakeholders and funds.

If for example a distributor workflow has been created, it will be integrated in the onboarding and/or continues monitoring of distributor risks.

To add a workflow, the user starts by pressing the add button in the Workflow template section of the configuration menu.

Within the workflow template the user needs to define within the ‘general’ tab

The workflow for stakeholders is used to assess risks related to the stakeholder. The workflow for Funds can for example be used to send out invitations for AGM’s including the management of returns and votes

Field	Description	Purpose
Code	Workflow code
Name	Workflow Name
Allowed Teams	Teams which are included in the workflow as actors	Users which are not part of an allowed team cannot actively participate in the workflow but can view actions
Role	For which Role ( e.g. Distributor, custodian etc) is the workflow being designed	Workflow templates are specific to user roles. Only one role can be selected per workflow.
Enable Review	Yes /No option	Is a review of answers relating to questionnaires allowed ? If yes the user can approve and reject answers from the questionnaire
If review allowed: Review Team(s)		Which team can review the email body content
If review allowed : Approval Teams		Which team can approve answers

Only one team can be selected in each option.

At the bottom of the ‘General’ tab the user presses the

 button and is oriented via the tab ‘Steps’. This tab has by default the below layout when creating a new workflow:

To define a workflow the user drags the first step from the available step list into this

area of the screen.

Further configuration is then proposed for the step selected (in this example send questionnaire)

Once the configuration has been completed, the user can move to the next step of the configuration.

The user is guided via the ‘next’ buttons until the configuration process for the step is complete.

Then the configured step appears in the Workflow template:

Further step can be added in the dotted areas above and below the first step. Placing a new step above the existing step defines that the new step within the workflow is prior to the existing step. Placing a new step below the existing task means the new task follows after the existing task.

For every step there is a dedicated configuration available. In some cases some pre-configuration is required. The Send Questionnaire Step for example will refer to the existing questionnaires in FSO so at least one questionnaire needs to be available when setting up the workflow.

Step by Step the user can create and update the workflow and save it.

Upon saving, the item appears in the list of workflow templates:

The template can be amended any time, but changes will only be reflected for workflows which are created after the modification.

Lookups

There are two possibilities to hold potential dropdown values for fields. One is via the Stakeholder or Individual configuration where fields can be created together with the potential values.

Lookups is another way to hold this data which relates to existing fields. It is available for

– Country

– Country Groups

– Task Type

– Address Type

– Register Type

– Identity Type

Task type for example is used within the tab ‘Tasks’ of Stakeholder. To add a new task there, the user can choose the task type from a list of values:

The values from this list have been set up in the Lookup menu for Task type

To add a new value for the drop down list the user can use the add button and save the new value.

Upon saving, the value becomes visible in the dropdown option for the stakeholder task.

All submenus of lookups work in this same manner.

Individual

The section for individuals consists of 2 sections: General and Roles. Both sections work in the same way as for Stakeholders.