Universal Concepts

• Centralised Master File
  

  Single record for every Individual, Contact, Entity, Bank, etc. Defines profile and core information per record Address book, contact details for each record Unlimited addresses / contact details per record Each record can be parameterised for open / restricted use in other modules Optional security at Master File Level

• Centralised Address Book
  

  Addresses can be shared by multiple records e.g. a registered office is only entered once Country, region, city, street parameterised searching of existing address records Automated global change of address feature Full history of addresses with start / end dates Multiple options for address format

• Document Generation
  

  System generated documents can be (1) automatically prompted on undertaking a specified event or (2) manually generated on request Event linked generation can be parameter and / or condition specific, e.g. jurisdiction and / or officer type Templates can be automatically populated with information from the database. Documents are stored in a central form queue pending selected or batch generation Templates are in Microsoft Word format and are highly customisable, both in format and content Generated documents are easily edited once generated Automatic Storage in Document Manager Automatic Task creation on document generation Document completion status tracking

• Audit Trail
  

  Event log with retrigger feature Change log Generated document tracking

• To-Do-List
  

  Automatically compiled list of actions to be undertaken with associated date Events listed in the to-do list can be system automated, user defined or ad-hoc items created by the user Also viewable in Task Manager in Document Manager module User defined review horizon / period to schedule actions Actions can be searched by administrator, team, globally or by Master File selected Optional help note per To-Do list item to advise how to do Optional setting for automatic to-do list review on logon to system

Universal Features

• Compliance, Due Diligence & KYC
  

  Comprehensive "Best Business Practice" Compliance, Due Diligence and KYC data fields Optional additional user defined fields compliance folder – unlimited number of fields / multiple field formats Automatic to to-do list update for missing or expiry due compliance and KYC data Advanced reporting capabilities. Amendments linked to Global Change feature.

• Relationship Management
  

  Ability to link Master Files to other Master Files Multiple 'file owner' options Master File Relations Register Advanced relations enquiry features including parent / child relationship views Optional per Master File authorised relationship roles only settings Comprehensive reporting on relationships and underlying relations profiles

• Alerts
  

  Master File specific automated user alerts Prompted in all modules whenever a flagged Master File is selected Multi types of Alert Alert types can be client defined Active / inactive alert status to maintain history Start / end / review dates Link to to-do list for forthcoming alert end / review dates

• File Notes / Recurring Tasks
  

  Client defined categorised listing of notes / memo items /events to be undertaken Can be assigned, with due date, between users for future review / follow –up / specific action Recurring tasks option to automatically reset the next due date after completion Included in to-do list review and summary Included in the Document Manager module task listing Ability to save operational checklists including the individual components to a file note

• Correspondence Generator / Register
  

  Produces generic correspondence templates in Microsoft Word format Templates can included multiple details from the system including addressee name, address, contact, tel / fax number, company name, register office address, directors etc. Templates can be in basic 'skeletal' format or have standard body text embedded into the template and include extracted data Automatic Storage in Document Manager option Automatic Task creation option

• Safe Custody Register
  

  Maintains details of all items held in safe custody Movement register on each safe custody item Includes details of movement type, requestor, date of request and details of action taken Integrates with Document Manager for instant viewing of image of the safe custody item Per Master File but can be searched by administrator , team or globally Location and custodian details if item held offsite Categorised for ease of use, each category has an optional sub-category for further segregation or analysis

• Compliance Register
  

  Records events and actions stipulated by regulators and / or internal procedures to be recorded e.g. gifts received, complaints, advertisements, etc. Events are categorised by event or action type and optionally sub-categorised within each individual event or action type Includes an actions register to detail what and who undertook any actions required Optional advanced security to restrict access

• File Archives Register
  

  Records items (boxes, files and documents) that have been archived – on or offsite Archives items are categorised,  the categories can be client defined and each category can be further sub-categorised if required The core archive information details the item location, content description, item period and destruction schedule details etc. For each archive item there is a parameterised movements register to ensure the current location and item holder is always known

• Enquiry
  

  Comprehensive all modules enquiry feature Expandable and collapsible menu items to view more detailed or summarized information including transaction specific details Easy drill down on other records displayed in the enquiry screen Available through main tool bar or right mouse click Facilitates multiple enquiry screen viewing

• User Fields
  

  Ability to create an unlimited number of user defined fields Field format and field captions are user defined Includes user defined parameter tables for bespoke look-up tables. User fields can be grouped together User fields can be retrieved and applied on a per Master File basis, or be applied globally User fields can be reported on, be included in the to do list review and be included in the templates within the ViewPoint libraries