Guardian Platform for Funds, SICAVs and Management Companies

A single platform for portfolio & risk management, back & middle office, order management and reporting of your SICAV funds

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An integrated platform that allows you to achieve maximum automation of operational processes, from fund management with advanced portfolio management functions, to the pre-compliance validation of all transactions entered, up to the total automation of back & middle office processes or to the automated generation of factsheets or reports. This is Guardian software.

Key benefits
for Funds, SICAVs and Management Companies

Automated

Flexible

Wide functional coverage

Analytical depth

Usable from mobile devices

20 years of non-stop development

Compliant to European and Swiss legislation

New releases always included

Multi-language

Functional and technical assistance always guaranteed

Maximum flexibility and configurability

Valuable modules
for Funds, SICAVs and Management Companies

1.

Portfolio Management

Advanced functions and tools to support the fund managers’ analyses and activities

2.

Automatic connections with more than 60 custodian banks and Fund Administrators

Automatic receipt of the NAV and of the settled transactions from the custodian banks and Fund Administrators for all your funds

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

Real-time checks of all regulatory, prospectus or discretionary limits set on your portfolios, with detailed pre and post compliance reports for portfolio risk analysis.

5.

Back & Middle Office

The highest level of digitization and automation for your operations team

6.

Automatic Reporting

Factsheets, monthly letters and several other reports automatically generated, available in different languages

7.

Web App for fund managers

Web access dedicated to fund managers and advisors through an app for smartphones and tablets

8.

Configuration dedicated to Management Companies

Let's digitize the entire service from ManCo, from the real-time connection of the various managers or advisors, to the pre-compliance validation of the orders entered in the system, up to the generation of automated post-compliance reports in accordance with the requirements of the Luxembourg CSSF or the Maltese MFSA.

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Portfolio Management

Advanced functions and tools to support the fund managers’ analyses and activities

Real-time NAV calculation, maximum flexibility in portfolio classification on N levels, performance contribution and attribution analysis, asset allocation evolution and specific portfolio risk analysis reports: these are just some of the functions supporting portfolio managers.

Maximum flexibility in the asset allocation monitor

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

Performance contribution and attribution in detail

Performance contribution and attribution analysis according to different levels of aggregation (asset classes, types of securities, product category, industry sector, currency etc.), up to the exact contribution of each security.

Automatic real-time calculation of funds’ valuations and NAV

Real-time valuation of any listed instrument through a link to your financial information provider (Bloomberg, Refinitiv, Six Financial Information or other) and consequently real-time automatic calculation of all your funds and sub-funds’ valuations, as well as the real-time calculation of the estimated NAV per share of the main class and of the different secondary sub-classes, with details on the number of shares and total assets for each sub-class. Possibility of splitting the subscriptions/redemptions for single investors in order to analyse the subscribers detail for each fund.

All data of any security in a few seconds

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

Pre-compliance check on every trade

Validation of all orders entered according to the UCITS and/or AIMFD regulatory limits, prospectus and discretionary, so as to have the guarantee that all orders processed are always compliant with all limits set for each fund.

Trade Blotter and real-time receipt of order status

Trade blotter to monitor all the orders entered in the system, with the possibility of sending the orders via FIX and/or Bloomberg EMSX or NET to the various brokers and receiving all the details of the executions in real time.

History of transactions and positions and queries

Possibility of extracting any historical information regarding transactions and/or portfolios, as well as specific query functions to search for exposure of a specific asset class and/or currency, security, etc., up to querying the portfolio's prospective cash flow with a simple selection.
Automated creation of an unmodifiable PDF document containing the order and pre-compliance Log for each operation recorded in the system.

Integration with third-party software and customised processing

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

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 investment funds and ETFs allocated in the fund.

Export to pdf, xlsx and other formats

All portfolios, processed data and reports can always be exported to Excel, PDF, and other formats.

Aggregation of delegate manager orders

From the Web platform the portfolio manager will be able to manage and interact. Highly performing and information-rich platform, fully integrated to digitize and automate connections with all Investment Managers/Advisors. The Management Company receives all orders entered by external managers who have passed the pre-compliance check, can verify them further and decide whether to send them to market intermediaries, in accordance with the set Risk Management rules.

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Automatic connections with more than 60 custodian banks and Fund Administrators

Official allocation and NAV of all your funds, every day, on your server.

No manual input, because you will automatically receive everyday, or periodically depending on the kind of funds, trade confirmations, official positions and NAV of all your funds from the custodian banks and Fund Administrators, directly on your server. This is going to boost efficiency in matching operations and make cost controlling very easy.

Download the interfaced banks and Fund Administrators list

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What if your custodian banks or Fund Administrators 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 just 15 days. Of course, with Guardian you can manage the portfolios for which there is no interface with the custodian bank by entering the trades manually.

UBS, Julius Baer, Credit Suisse, EFG, LGT, Lombard Odier, Corner Bank,Vontobel Bank, Rothschild Luxembourg, Dexia Bank, Royal bank of Canada, Pictet, Goldman Sachs, Jp Morgan, Morgan Stanley, Banque De Groof Luxembourg, State Street, Apex, KBS, Banca Stato, Caceis, Compagnie Monegasque de Banque (CMB), Banca Zarattini, Bank of Valletta, Calamatta & Cuschieri, Banca Sella, Banca Arner, One Swiss Bank, BIL Luxembourg, Credit Agricole, Axion, Banca Euromobiliare, BNL, Bnp Paribas, Banca CIC, Banca Finnat, Banca Ifigest, Deutsche Bank, Northen & Trust, Intesa San Paolo, J Safra, LGT, Mediobanca, Aquila bank,VP bank, Zurcher Kantonal bank,Basler Kantonal Bank, St Galler Kantonal Bank, Marki & Baumann, Wells Fargo, European Fund Administration, Amicorp.

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Order Routing

With Guardian FIX Blotter you can trade in stocks, bonds, options, futures, CFDs and FX with any broker in the world

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

Send buy and sell orders electronically to your market counterparties through Bloomberg EMSX/TSOX or with dedicated point-to-point connections, via FIX or alternative protocols (SWIFT, XML, etc.)

With Guardian Fix Blotter you can enter single orders or for groups of portfolios and send them electronically to the counterparty, receiving the order execution status in real time. Ability to specify time and price parameters specific to each broker, as well as automatic calculation of trading commissions. Possibility to automatically receive real-time trades 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 been developed for some clients, based on the client’s specifications, to allow the automatic submission of trades to the market in response to quantitative signals generated by the strategy, guaranteeing low latency and maximum efficiency.

Some of our interfaced brokers:

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

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Risk Management

Your funds under control. Constantly.

We know that monitoring the risks of your funds is very important for you: that is why in Guardian you can set any kind of limit you want on your funds, and monitor the real-time exposure in order to avoid breaches.

Download a sample of Sicav Risk Analysis Report

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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); prospectus; discretionary (they come from the investment decisions made by your board, even temporary, they can be non-blocking rules), by interpolating many parameters such as asset class, issuer, market, country, rating, duration, etc.
Opportunity to create alerts (warnings) in case of approaching the limits already set, according to an editable tolerance range.

Real-time monitoring of all limits

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.

Automatic setting of all regulatory limits

Automatic setting on funds and SICAVs of all UCITS and AIFMD regulatory limits, updated in accordance with the latest regulatory requirements, and of all prospectus limits for each fund. Calculation of limits according to the committed approach and VaR approach.

Pre-and post-Compliance check

Pre-compliance validation of all transactions entered in real time. For each trade entered, the software records a digital document that cannot be modified by the user which contains the operation log which summarizes the details of the operation and the outcome of the pre-compliance check. Specific post-compliance reports and interface dedicated to the massive control of the status of the limits on all or groups of funds, with the possible periodic sending of limit monitoring reports via email.

Calculation model and risk analysis compliant with the requirements of the Luxembourg CSSF

VAR calculation model and specific fund risk breakdown report according to analysis of market risk, credit risk, counterparty risk, concentration, liquidity risk, as well as a VAR backtesting section and Stress Test Scenario, for which a primary Luxembourg auditor reviewed and certified that the risk report generated by Guardian is fully compliant with the risk monitoring and analysis requirements of the Luxembourg CSSF.

Software constantly updated with the new regulatory provisions

Automatic generation of all reports required by UCITS, MIFID II or AMFD regulations, with the automatic generation of reports to supervisory bodies such as Transaction Reporting or EMIR, or specific reports required by CSSF, MFSA, FINMA, CONSOB or BANKIT.

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 fund.

Pre-Compliance check

Possibility of defining the permissions of each user in relation to a non-compliant trade (block or request for authorization by the risk manager). Possibility of sending an automatic report in case of entry of trades that exceed the limits to the risk manager, who can authorize or refuse its execution.
For each operation, generation of an unmodifiable PDF document which summarises what was reported to the user, as well as checking each limit with all the securities considered in the calculation.

Post-Compliance check and risk reporting

Massive control of the status of the limits on all funds or groups of funds from a simple window, in real time or on any historical date. Specific ex-post risk analysis reporting perfectly compliant with the requirements of the Luxembourg CSSF. Calculation of VaR, stress test and what if scenarios as well as calculation of the main synthetic risk indicators (volatility, Sharpe, Sortino, alpha, symmetry, kurtosis, etc.) for each fund.

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Back & Middle Office

More automation. More productivity.

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

Automatic receipt of banking flows for Reconciliations

Automatic receipt of flows from custodian banks and/or fund administrators to verify the last calculated NAV, reconcile all securities and cash transactions settled for each fund, as well as the automatic import of all unit movements of each fund, with automatic reports of all transactions, valuations of securities and/or balances which present an unjustified mismatch.

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 and SSI

Dashboard alert with evidence of all the corporate actions announced for the securities in the portfolio.
Automatic generation for each portfolio of trades relating to ex-dividends, coupons, redemptions, corporate transactions.
Automatic generation of options and derivatives exercise based on the characteristics of the instrument (cash delivery, future delivery, out/in the money).

Automated receipt of trades throughout the day

Automated receipt of trades received from brokers via Bloomberg Dropcopy, EMSX or FIX channel, with related trade update with all details and fees communicated by the broker.

NAV and TER automatic calculation

Guardian calculates the NAV of funds and the value per share for each class taking into account all management and performance fees and any other type of cost for an accurate calculation of the Total Expense Ratio (TER) and its impact on the estimated NAV, and then compares it to the official NAV and checks any unjustified difference.

Automatic calculation of fees

Possibility to configure the calculation of management fees, performance fees (fixed amount, HWM, Hurdle rate), fixed amount fees, to automate the calculation of the daily accrual and verify all the charges calculated by the custodian bank.

Retrocession calculation and controlling

Automated calculation of retrocessions for each investor, with reports detailing the fees accrued in the period on a daily basis.

Automation of back office flows

Automatic generation of summary files of all transactions performed during the day, ready to be sent to counterparties.
Automatic sending of the settlement instruction (SSI) to each counterparty with the automated generation of the required file complete with all the required settlement fields.

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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Automatic Reporting

Factsheets, monthly letters and several other reports automatically generated, available in different languages

Wide range of Reports available to the user, such as performance contribution reports, newsletters, market overviews, fund factsheets. All these reports are generated automatically and they can be sent to a mailing list up to five different languages, with the possibility to customize them according to specific needs.

Download a
sample Report

REQUEST NOW

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Web App for fund managers

Web access dedicated to fund managers and advisors through an app for smartphones and tablets

Guardian Web allows the Front Office users (investment managers and advisors of funds, even delegated) to connect and use in real-time the software from anywhere in the world, with any kind of mobile device.

Ask for a
Guardian Web Demo

REQUEST NOW

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Configuration dedicated to Management Companies

Let's digitize the entire service from ManCo, from the real-time connection of the various managers or advisors, to the pre-compliance validation of the orders entered in the system, up to the generation of automated post-compliance reports in accordance with the requirements of the Luxembourg CSSF or the Maltese MFSA.

Real-time connection of all managers or advisors

The Guardian platform allows you to connect managers or advisors located anywhere in the world, offering them the service of using Guardian Web, which will allow them to take advantage of all the advanced functions and processing of portfolio management and NAV calculation in real time.

Pre-compliance validation of the transactions entered

During the day, each manager will use his or her access to Guardian to send digitally and in real time the orders on securities to be sent to ManCo, and each operation will be validated by the software in accordance with all regulatory limits (UCITS or AIMFD), by prospectus and/or discretionary set on the fund.
For each manager/user, it is possible to set different levels of permission and/or configuration of the management of non-compliant orders (blocker, sending of the authorization request to ManCo or another user, etc.).

Automated reception of all orders placed by managers

All transactions entered by the managers or advisors of the funds that will be compliant with the limits configured for each fund, will be sent in real time to the ManCo Guardian Server. At this point, the Management Company will be able to proceed with a further check and subsequent execution of the order, or send the order received via FIX protocol directly to the broker indicated in the trade.

Automated post-compliance check according to CSSF requirements

The verification and control of the massive risk of all ManCo funds is completely automated by the Guardian Platform, through a dedicated risk breakdown report divided into various sections, including the analysis of market risk, credit risk, counterparty risk, concentration, liquidity risk, as well as a VAR backtesting section and Stress Test Scenario, for which a primary Luxembourg auditor has reviewed and certified that the risk report generated by Guardian is perfectly compliant with the risk monitoring and analysis requirements required by the Luxembourg CSSF.

Independent calculation of the NAV of each fund at the end of the day

Guardian Platform calculates autonomously and with the utmost precision the NAV of each fund at each end of the day, considering the active component (securities and current account balances), the passive component, by calculating the daily accrual of all fees and expenses charged for each fund, in addition of course to the management of the handling of quotas and register of subscribers.