Guardian Platform for Italian SIMs and SGRs

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

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Guardian software supports all operational areas of a SIM or Italian SGR to offer maximum efficiency and automation of all the main operational processes of your management company.

Key benefits
for Italian SIMs and SGRs

Automated

Flexible

Wide functional coverage

Analytical depth

Safe login and encrypted database

Installation anywhere and integration with other softwares

Reliable and stable

20 years of non-stop development

Compliant to European and Swiss legislation

New releases always included

Usable from mobile devices

Multi-language

Technical support always provided

Valuable modules
for Italian SIMs and SGRs

1.

Portfolio Management

Advanced functions and tools to support the asset managers' and wealth advisors' 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 and of the NAV of all your funds.

3.

Financial advice

Massive and automated generation and sending of recommendations to your clients in three simple steps.

4.

Order Routing

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

5.

Risk Management & Compliance

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

6.

Back/Middle Office & Operations

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

7.

Notifications to the Supervisory and Tax Authorities

Automated processing of mandatory notifications to Consob, Bank of Italy, Tax Registry and AUI reports, and automated calculation of taxation according to the different regimes.

8.

Registry management & Customer Relationship Management

Digital management of all information and documents relating to your clients and contracts.

9.

Digital onboarding of master data and contracts

Fully digital by web wizard, which guides the consultant in entering all personal data and contract information, including the digital signature of the profiling questionnaires and the mandate signed by the client.

10.

Fees, Invoicing & Profitability

Automatic calculation of any kind of fee and automatic invoicing, with cost control tools and detailed profitability analysis.

11.

Automatic Reporting and Report Generator

Wide range of reports available in different languages, automatically created and sent by email to your mailing lists

12.

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

Advanced functions and tools to support the asset managers' and wealth advisors' analyses and activities

Position keeping, account consolidation, performance analysis, simulations, financial advice: these are only a few features you can use to effectively manage your portfolios.

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.

Management of holding accounts

Specific functionalities for the management of holding accounts and with the relative Omnibus account divided among several depository banks.

Rebalancing to model portfolios and simulations

Rebalancing of portfolios according to model portfolios, with automatic creation of all adjustment trades. Generation of cumulative purchase, sale, or currency exchange simulations from a simple processing window, all subjected to the pre-compliance check.

Simple creation of consolidated portfolios

Ability to create multi-bank consolidated portfolios, by client, 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.

Automatic calculation of portfolios’ valuations

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 portfolios valuations. For funds, 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.

All data of any security in a few seconds

Obtain the complete data set 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

Validation of all orders entered according to the client's Mifid profile, by mandate and discretionary, so as to have the guarantee that all orders processed are always compliant with all the restrictions set for each portfolio.

History of transactions, positions and queries

Order and pre-compliance log for each transaction recorded in the system, possibility of extracting any historical information regarding transactions and/or portfolios, as well as specific query functions to search for exposure to a specific asset class and/or currency, security, etc., up to the interrogation of the portfolio's prospective cash flow.
Order log automatically fed with all the details required by the regulator.

Look-through of the funds

You can split any investment fund into the single costituents and monitor the effective exposure by currency, by country, by sector and other several classifications.

Export to pdf, xlsx and other formats

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

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Automatic connections with more than 60 custodian banks

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

Daily automatic receipt of positions and transactions booked by custodian banks for all 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 customers’ 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 and add to portfolios for which there is no interface with the custodian bank, by entering 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, 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

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Financial advice

Massive and automated generation and sending of recommendations to your clients in three simple steps.

Automatically generate and send consultancy recommendations to all your clients, via email, PEC or via notifications on their smartphone, with the details of the ex-ante costs and the KIIDs/KIDs of the recommended securities and automatically attached to the email sent to the client, in a way that is totally compliant with the MiFiD II regulation. Automatic generation and sending of consultancy reports to be sent to clients, divided into different sections of analysis and summary of the recommendations sent in the period.

Download an example
of Consultancy Report

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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 by 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, and they include price, date, quantity and all the main parameters of the order.

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 fees. 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 · UBS · Goldman Sachs · JP Morgan · Banca Sella ·Mediobanca· Banca Finnat· CA Indosuez · Société Générale · Intermonte

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Risk Management & Compliance

Your portfolios under control. Constantly.

Possibility of configuring all types of limits, from simple max/min exposure on asset classes up to complex limits or limits based on the target markets associated with each portfolio, with the validation of all entered transactions, monitoring the real-time exposure in order to avoid breaches.

Download a sample of Operational Limits 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); mandatory (deriving from the management/advisory mandate signed with your clients, compliant to their investment risk profile); prospectus (for funds and SICAVs); discretionary (they come from the investment decisions made by your board, even temporary; they can be non-blocking rules).
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.

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.

Risk analysis report

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

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 the pre-Compliance check

The client 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 the 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 & Operations

More automation. More productivity.

Operations completely digitized for your administrative activities: get the maximum level of automation and efficiency with Guardian.

Possibility of benefit from the full outsourcing service of the Swiss-Rev SA back office that guarantee a punctual and reliable service, at a very competitive cost.

Automatic receipt of banking flows for Reconciliations

Automatic receipt of banking flows for daily reconciliation of the positions of securities, current accounts, transactions, fees and cash flow. Guardian will highlight the trades and portfolios that are mismatched compared to the data received by 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.

Connections to accounting softwares

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

Automatic generation of corporate actions

Dashboard alert with 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).

Back office full outsourcing service

Possibility of completely outsourcing all the back&middle activities of your company to Swiss-Rev so that you can dedicate yourself exclusively to portfolio management.

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Notifications to the Supervisory and Tax Authorities

Automated processing of mandatory notifications to Consob, Bank of Italy, Tax Registry and AUI reports, and automated calculation of taxation according to the different regimes.

For each mandatory report, Guardian generates both an excel file for data verification and the file in the specific format required by the supervisory authority, ready to be uploaded to the dedicated portal.

Italian and foreign notifications

In addition to the mandatory notifications to Consob, Banca d'Italia, Anagrafe Tributaria for Agenzia delle Entrate, Archivio Unico Informatico, Segnalazioni Anti-Riciclaggio Aggregate (SARA) per l’UIF, the Guardian software also allows you to integrate the reports required by European legislation regarding the automatic generation of the Transaction Reporting, and numerous reports for foreign authorities (ESMA, FINMA, FCA, CSSF, MFSA, etc.).

Constant regulatory update

The software is constantly updated according to regulatory developments, and all updates are periodically released to our customers via SFTP connection.

Automatic calculation of taxation

Automatic calculation of the tax base or of the tax impositions according the tax system of the portfolio (administered, managed or declaratory).
Specific summary reports and verification of the determination of taxable income.

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Registry management & Customer Relationship Management

Digital management of all information and documents relating to your clients and contracts.

Completely digital management of persons and contracts data, to ensure easy entry and search of any data or document of a client.

All sensitive information is stored in a separate and fully encrypted database.

Encrypted digital archive

Management of all information and documents relating to the involved parties and portfolios, with an encrypted digital archive for uploading all associated documents (PDF, Word, Excel and other formats). Quick and export of all the information related to a party and/or a portfolio. Option to allow only certain Guardian users to access and/or edit data in this section.

Digital onboarding of clients

Thanks to the Guardian Web app, the financial advisor can directly onboard his client with his tablet in a very easy and quick way, thanks to an accurate Due Diligence system which involves the completion of personal data, of MiFiD II/FIDLEG and AML risk profiling questionnaires and eventually the electronic signature of the contract through a OTP system, legally certifying the client's eSignature of the questionnaires and of the management/advisory mandate.

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.

MiFiD II/FIDLEG Questionnaires and 6 Target Markets

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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Digital onboarding of master data and contracts

Fully digital by web wizard, which guides the consultant in entering all personal data and contract information, including the digital signature of the profiling questionnaires and the mandate signed by the client.

Thanks to the Guardian Web mobile application, clients can be onboarded directly from the tablet using a guided wizard, with special sections dedicated to risk profiling for MiFiD II and Anti-Money Laundering investments.
Once all the information, data and mandatory documents have been completed, it will be possible to proceed with the automatic generation of the management or consultancy contract, ready to be digitally signed by the client, using an advanced, valid and legally recognised electronic signature.

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Fees, Invoicing & Profitability

Automate management fee calculations, invoice generation and portfolio profitability analysis.

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 time limit. Report dedicated to portfolio profitability analysis.

Automatic calculation of fees

Different methodologies available for the automatic calculation of management fees (fixed amount, percentage, staggered on assets) and performance fees (absolute performance, High Water Mark, Hurdle Rate), for all your portfolios.

Calculation and monitoring of retrocessions

Commission reports to be collected and/or retroceded to counterparties or consultants, for constant and complete monitoring of commission cash flows.

Portfolio profitability analysis

Profitability analysis of customer portfolios (Return on Assets, ROA) according to different levels of aggregation (manager, custodian bank, portfolio groups, investment strategy, etc.) and broken down by different sources of income (management and performance fees , upfront fees, etc.).

Automatic generation of invoices

Automatic calculation of commissions on each portfolio, with the processing of massive reports to be sent to each custodian bank with all the details for the account charge and/or automatic generation of the PDF invoice to be sent to the customer.

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Automatic Reporting and Report Generator

Numerous standard reports available, from risk analysis or portfolio performance to reports sent via email and PEC to your clients. In addition to the various standard reports, possibility of generating completely customised reports in terms of graphics and content.

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 customise them according to specific needs.

Report generator module that allows you to create N templates and for each of them define with maximum autonomy the graphic layout and the contents you want to represent.

Download a
sample Report

REQUEST NOW

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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.

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 everywhere in the world, with any kind of mobile device.

Ask for a
Guardian Web Demo

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