Functions for advisory process audits

Module "Infront Advisory Solution consulting process"

Investment proposal.appropriateness[person;holderInterested party]→test result

Investment proposal (investment proposal).

Person (person).

OwnerInterested party (owner or interested party): Optional parameter.

Result: The appropriateness function carries out an appropriateness check. The transferred custody account object can be used to identify the customer (holder).

The formula used here can be specified under CONFIGURATION, CONFIGURE CONSULTING PROCESS TESTS, APPROPRIATENESS.

Module "Infront Advisory Solution consulting process"

Owner.suitability[RebalancingPortfolio;Portfolio]→Test result

Owner (owner or interested party).

RebalancingPortfolio (RebalancingPortfolio ).

Portfolio (Portfolio): Optional parameter.

Result: The suitability function carries out a suitability check. The rebalancing portfolio specifies the target portfolio. The optional portfolio to be transferred is the holder's current portfolio.

The formula used here can be specified under CONFIGURATION, CONFIGURE CONSULTING PROCESS TESTS, SUITABILITY.

Module "Infront Advisory Solution consulting process"

Security.make investment proposal[transaction type]→Investment proposal

Transaction type (string or investment planning transaction type [purchase]).

Result: The MakeAnlagevorschlag function returns an object of the type "Anlagevorschlag", which can be transferred, for example, as an object of the appropriateness check (MM-Talk function Angemessenheit) for the security ("BaseAsset").

Module "Infront Advisory Solution consulting process"

Exam result.MakeExamResult[Reasons]→ExamResult

Check result (Boolean or string or check result): Boolean is mapped to "Successful"/"Unsuccessful". Possible string values are as specified under CheckResult.

Reason (string): Optional parameter.

Result: The MakePrüfungsResultat function returns an object of the test result type, e.g. as the result of the Appropriateness and Suitability functions.

Module "Infront Advisory Solution consulting process"

Investment proposal.admissibility[Person;OwnerInterested party;Portfolio;Advisor]→Review result

Investment proposal (investment proposal).

Person (person): Optional parameter.

OwnerInterested party (owner or interested party).

Portfolio (Portfolio).

Consultant (advisor).

Result: The admissibility function carries out an admissibility check. The transferred custody account object can be used to identify the customer (holder).

The formula used here can be specified under CONFIGURATION, CONFIGURE CONSULTING PROCESS TESTS, PERMISSIBILITY.

Module "Infront Advisory Solution consulting process"