Guardian Platform for Asset & Wealth Managers

A global platform covering all the key activities in Asset and Wealth Management.

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Portfolio management on various custodian banks, advanced portfolio management functions supporting the management team, order routing, automated functions supporting back & middle office, risk management, compliance & reporting, CRM, KYC management and report generator. This is Guardian software.

Key benefits
for Asset & Wealth Managers

Maximum automation

Wide functional coverage

Analytical depth

Safe login and encrypted database

Optimised for mobile devices

Maximum flexibility and configurability

20 years of non-stop development

Compliant to European and Swiss regulations

New releases always included

Multi-language

Functional and technical support always guaranteed

Valuable modules
for Asset & Wealth Managers

1.

Portfolio Management

Advanced functions and tools to support the asset managers’ analyses and activities.

2.

Automatic connections with more than 60 custodian banks

Automatic receipt of positions and transactions settled by the custodian banks for all your portfolios.

3.

Order Routing

Trading in equities, bonds and derivatives with any broker in the world, via FIX or other protocol, for the maximum security and speed of execution.

4.

Risk Management & Compliance

Real-time checks on all regulatory and discretionary limits for your portfolios, with several analytical tools.

5.

Back & Middle office

Complete digitization of all operations for the highest level of automation and efficiency.

6.

Know Your Client, Anti-Money Laundering & CRM

Organize and digitise all your clients' data and documents.

7.

Fees, Invoicing & Profitability

Automatic calculation of management and performance fees, invoce generations and Return on assets (ROA) analysis for all your portoflios.

8.

Report Generator

In addition to the several standard reports available, it is possible to generate completely customised reports in graphic form and content.

9.

Web App for managers, advisors and end-users

Web access dedicated to portfolio managers, financial advisors and HNWI through an app for smartphones and tablets.

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Portfolio Management

Everything a portfolio manager needs.

Advanced portfolio management functions, massive order simulations, rebalancing with model portfolios, asset consolidation, performance contribution and attribution: these are just some of the functions supporting your management team.

Maximum flexibility in the securities classification within your portfolio

Maximum flexibility in reclassifying the assets held in a portfolio according to different classification levels (asset class, type of security, currency, geographic area, industrial sector, credit rating, maturity, etc.), or according to the user’s own classifications.

Detailed performance contribution and attribution

Performance contribution and attribution analysis according to different aggregation levels (asset class, security type, industrial sector, currency, etc.), up to the exact price and exchange rate contribution of each security.

Valuation of portfolios in real time

Real-time valuation of any listed instrument through a link to your financial information provider (Bloomberg, Refinitiv, Six Financial Information or other).

All data of any security in a few seconds

Obtain the complete dataset of any new security (over 130 dynamic and static fields) in a few seconds: all you need is the ISIN code and currency.

Pre-compliance check on every trade

Every trade is subjected to a strict check on limits set on the portfolio, so that in every moment you can check the exposure of your portfolio to all the limits.

Rebalancing to model portfolios and simulations

Portfolios rebalancing towards model portfolios, with the automated generation of all rebalancing trades. Massive simulations of purchase, sale, currency exchange orders, with the pre-compliance validation of all the transactions generated.

History of transactions and positions and queries

Order and pre-compliance log for each transaction registered in the system, possibility of extracting any historical information regarding transactions and / or portfolios, as well as specific query functions to verify the exposure to a particular asset class and / or currency, security, etc., up to the query of the prospective cash flow of the portfolio.

Simple creation of consolidated portfolios

Ability to create multi-bank consolidated portfolios, by customer, group or other aggregation chosen by the user.
Once the consolidated portfolio has been created, Guardian will independently calculate the consolidated position and MWR or TWR performance on a daily basis.

Look-through of the funds

Look through analysis to determine the real exposure by asset class, sector, currency, geographic area and other multiple classifications, considering the real allocation of the investment funds allocated in the client's portfolio.

Integration with third party software and customised processing

Automated interface for data exchange and/or generation of specific elaborations or reports to better integrate with other suppliers used by the clients.

Export to pdf, xlsx and other formats

Any function, report or elaboration in Guardian is always exportable to Excel, PDF and other specific formats.

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Automatic connections with more than 60 custodian banks

Official positions and transactions settled by the banks, every day, on your Guardian server.

No manual input: everyday you will automatically receive on your server trade confirmations and official positions of all your portfolios in T-1. This is going to boost efficiency in matching operations and updating your portfolios.

Download the complete
interfaced banks list

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What if your custodian banks are not in the list?

No problem. Every year we create new interfaces at the client’s request. One of our strengths is the ability to create a new interface via FIX, SWIFT, or other protocols in a few weeks. Of course, with Guardian you can manage the portfolios for which there is no interface with the custodian bank, by entering trades manually.

ABN, All Funds, Amicorp, Apex, Aquila bank, Arner Bank, Axion, Banca del Sempione, Banca Euromobiliare, Banca Generali, Banca Aletti, Banca Albertini, Banca Cramer, Bil Luxembourg, Basler Kantonalbank, BNL, BOV, Bordier, Bank of America, BPER Banca, Banco BPM, Banca popolare di Sondrio Suisse, Banca Sella, Banca Sammarinese d’Investimenti, Banca Stato, Banco Santander, Caceis, Credit Agricole, Cassa Lombarda, Calamatta & Cuschieri, CIC, City Bank, CMB, Corner Bank, Credinvest, Credem, Credit Suisse, Deutsche Bank, EFG, European Fund Administrator, Fexserv Fund Services, Fideuram, Finnat, Ihag Privatebank, Intesa San Paolo, Julius Baer, JP Morgan, Norhen & Trust, Pictet, PKB, RBC, Reyl, Edmond de Rothschild, J. Safra, Sara, Societè Generale, State Street, St Galler Kantonal Bank, UBP, UBS, Unicredit, Vontobel, VP Bank, Wedbush, Wells Fargo, Zarattini Bank, Zurcher Kantonalbank.

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Order Routing

Trading stocks, bonds, options, futures, CFDs and Forex with any broker in the world and in real time

Sending orders directly to intermediaries via FIX or alternative protocols, to ensure maximum efficiency and speed of execution.

Orders are sent electronically to your brokers through Bloomberg EMSX/TSOX platform or specific connections by FIX, SWIFT, XML or other protocols.

With Guardian Fix Blotter you can place single orders or orders for groups of portfolios and send them electronically to the counterpart, receiving the order execution status in real time. Ability to specify specific time and price parameters for each broker, as well as automatic calculation of trading fees. Possibility of automatically receiving trades in real time from brokers through automatic flows, via Bloomberg Chat or terminal, thanks to the interface with Bloomberg Dropcopy.

Guardian is an official Bloomberg EMSX Staging, EMSX Net and TSOX certified software. Algorithmic trading strategies have also been developed on the basis of specific requests from some clients to allow the automatic sending of orders to the market according to the set quantitative logic, ensuring low latency and maximum efficiency.

Some of our interfaced brokers:

Bloomberg EMSX · Credit Suisse · UBS · Goldman Sachs · JP Morgan · Banca Sella · CA Indosuez · Société Générale · Intermonte

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Risk Management & Compliance

Your portfolios under control. Constantly.

Possibility for the user to set any type of limit to ensure the maximum level of security for all transactions entered and to monitor exposure to each limit in real time, even in the event of a passive breach.

Maximum flexibility in creating your limits

Possibility for the user to set any type of limit:
- regulatory (deriving from regulation and required by the banking and financial authorities)
- mandatory (deriving from the management/advisory mandate signed with your clients, compliant to their investment risk profile)
- discretionary (they come from the investment decisions made by your board, even temporary, they can be non-blocking rules)
interpolating many parameters such as asset class, issuer, market, country, rating, duration, Suitability and Appropriateness profile of your clients, etc. Opportunity to create alerts (warnings) in case of approaching the limits already set, according to an editable tolerance range.

Real-time monitoring

Automatic control of the exposure of all portfolios and funds to the rules that have been set to ensure maximum safety of all trades and even to real-time monitor passive breach caused by market up&downs. A recap file can be sent to the risk manager periodically, or each time a warning and/or a limit is exceeded.

Risk analysis report

Several risk analysis reports, strees test scenarios, calculation of the portfolio VAR and of all the main synthetic indicators (sharpe, volatility, max drawdown, correlation, ect)

Pre- and post-Compliance check

Every transaction inserted in Guardian is subjected to a strict pre-Compliance check which prevents the insertion of a non-compliant trade with respect to the rules set on that portfolio. For each order entered, a document is created and saved in a digital database, non-editable by the user, which summarizes all the data relating to the entered trade and the outcome of the pre-Compliance check.
If the transaction is compliant, it will be listed into the Guardian Trade Blotter where you can monitor its status while you wait for the bank’s execution. Advanced post-Compliance elaborations and several key risk indicators such as the portfolio VaR are available too.

Transaction entered by the Front Office

When a transaction is entered, the user is immediately informed whether the transaction is compliant according to all the limits and restrictions set for that portfolio.

Pre-Compliance check

At this step the check on all regulatory, prospectus, mandate and discretionary limits set on the portfolio is made. Every transaction inserted by the portfolio managers and advisors is subjected to a strict pre-Compliance check and a document is created and saved in a digital database, non-editable by the user, which summarizes all the data relating to the entered trade and the outcome of the pre-Compliance check. For each limit there is a check section with details of all the securities included in the calculation.

Outcome of pre-Compliance check

The customer can define each user’s permissions if the trade is found to be “not compliant” (block or request of authorization from the risk officer). Automatic jobs can be created so that, in case of non-compliant transaction, a notice is sent immediately to the risk manager who may authorize trade execution.

Post-Compliance check and risk reporting

Check on all the limits set to all portfolios or groups of portfolios from a simple viewing window, in real-time or at a past date. Specific portfolio ex-post risk analysis reports (concentration risk, liquidity risk, etc.) and stress tests. Calculation of VaR and key synthetic indicators (volatility, Sharpe ratio, Sortino ratio, alpha, skewness, kurtosis, etc.).

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Back & Middle office

More automation. More productivity.

Complete digitalization of all operational processes to ensure the highest level of automation, efficiency and quality of work.

Automatic receipt of banking flows for Reconciliations

Automatic receipt of banking flows for daily reconciliation of the positions of securities, current accounts, transactions, commissions and cash flow. Guardian will highlight the trades and portfolios that are mismatched compared to the data received from the bank, in order to identify unjustified differences between Guardian’s and the bank’s position.

Automatic update of securities’ data

Automatic update of the securities database through your financial provider (Bloomberg, Reuters, Six Telekurs, other), so as to always have a securities and portfolio valuation calculated independently by Guardian for comparison against the bank’s valuation.

Automatic generation of corporate actions

Dashboard alert with the evidence of all the corporate actions announced for the securities in the portfolio.
For each portfolio, automatic generation of trades relating to dividends, coupons, redemptions, corporate actions, option exercises according to market specifications (cash delivery, future delivery, out/in the money).

Simple creation of consolidated portfolios

Connections to accounting softwares

You can benefit from an automatic flow to your preferred accounting software that includes all the relevant information for bookkeeping activities.

Fully outsourced back office service

You have the opportunity to outsource to Swiss-Rev all of your company’s back&middle office activities: we guarantee highly professional services and a partner who will effectively support your asset management business. Thanks to investments in process automation and digitization, Swiss-Rev can provide this service at a very competitive price.

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Know Your Client, Anti-Money Laundering & CRM

Organize and digitise all your clients' data and documents

Fully digitised management of subject and contract data, to ensure an easy insertion and search of any data or document of a client.

Client onboarding module via web that guides the consultant in uploading all client and contract data, up to the signing of the profiling questionnaires, which can be digitally signed by the client.

All personal data are on a separate and fully encrypted database.

Management of all personal information and associated documents

Management of all personal information and documents relating to natural and / or judicial persons and related contracts fully digitized.
Ability to profile access and related permissions to the personal data management section for specific users only.
All personal data changes are tracked in order to faithfully reconstruct all the changes made over time.

Digital onboarding of clients

Thanks to the Guardian Web mobile application, the financial advisor can do the onboarding of the client directly from his tablet in a simple and fast way, thanks to an accurate system of Customer Adequate Verification which involves the compilation of personal data fields, profiling questionnaires. MiFiD II or FinSA risk and AML Anti-Money Laundering, completing the entire onboarding process with the advanced electronic signature via OTP of the contract, which legally certifies the signature of the questionnaires and associated contracts.

MiFiD II/FIDLEG Questionnaires and 6 Target Markets

Calculation and automatic completion of the six MiFiD II Target Markets resulting from Suitability and Appropriateness questionnaire, i.e. your MiFiD II Questionnaire, given to your clients. Digitization of your MiFiD II Questionnaire perfectly compliant to ESMA guidelines and FIDLEG Questionnaire perfectly compliant to FINMA guidelines, but that can be customized too, in order to automatically identify and monitor the risk profile towards investments of your clients according to the management/advisory mandate, so that the printout of the document is already filled in and ready to be signed.

Accurate AML tools

Digitization of your Anti-Money Laundering Questionnaire to give to your clients, where its structure is editable by the user, in order to detect and keep always under control the money laundering risk of your clients. Possibility to set AML parameters according to single movements, single cash movements and fractional movements with automatic extraction and reports of unusual cash movements with the possibility to attach documents and comments to justify the transaction. Automatic generation of alert emails with attached details of the unusual movement. Possibility to have access to international black lists of people involved in terroristic activities and Politically Exposed People.

Customer Relationship Management

CRM section in order to track all the activities made and to be made in terms of customer relations (recalls, emails, face-to-face meetings, etc.), with the possibility to upload documents and receive reminders on specific dates set by the user.

Compliant to the latest regulatory requirements

Swiss-Rev guarantees Guardian software is constantly updated according to the latest regulatory requirements issued by European and Swiss regulators, so that no client will ever be not compliant to regulation.

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Fees, Invoicing & Profitability

Automatic calculation of management and performance fees, invoce generations and Return on assets (ROA) analysis for all your portoflios.

Fully automated calculation of management and performance fees for each portfolio, using various configuration parameters.

Once set, Guardian will generate the invoice for each portfolio at the defined deadline. Report dedicated to the analysis of the profitability of portfolios.

Automatic calculation of fees

Different methodologies are available for an automatic calculation of management fees (fixed amount, percentage, AuM brackets) and performance fees (absolute, performance, High Water Mark, hurdle rate), for all your portfolios and funds.

Automatic generation of invoices

Automatic calculation of the commissions paid by the clients and automatic invoice generation and sending.

Retrocession calculation and controlling

Report of the commissions to be collected and / or retroceded to counterparties or consultants, for constant and complete monitoring of commission cash flows.

Portfolio profitability analysis

Return on assets analysis (ROA) aggregated by different criteria (managers, custodian banks, portfolios groups, management styles, etc.) and divided by the different source of revenues (management and performance fees, receivable fees, upfront fees, etc.).

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Report Generator

In addition to the several standard reports available, it is possible to generate completely customised reports in graphic form and content.

Wide choice of standard reports available including performance contribution reports, portfolio analysis, management reports or risk analysis reports.

Report generator module that allows you to create infinite templates and define graphic layouts and contents with maximum autonomy.

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Web App for managers, advisors and end-users

Access anywhere, anytime: Guardian Web platform.

Guardian Web allows the Front Office users (portfolio managers, promoters and advisors) and the end-clients to connect and use in real-time the software from anywhere in the world, with any kind of mobile device.

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Guardian Web Demo

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