Investment simulation - Record - Client alerting
On this page, the application checks whether the client's data is complete, up-to-date and suitable by using the corresponding client monitoring analyses. If the client's MiFID-relevant data is not up-to-date or does not match the specified investment limits, then a corresponding status icon appears. In this case, record the required data by using the "Client profiling" activity before continuing with the current activity. If there are new sell recommendations by the bank, then these also appear on this page. You can take these sell recommendations into account together with the client during this activity.
The results of the corresponding tests are indicated by status icons.
MiFID alerting
In this section, the applicatinchecks if the MiFID-relevant data for the holder and the corresponding persons is complete and up-to-date. The following results are possible:
| The necessary MiFID-relevant data is complete. Confirm that the data is up-to-date together with the client and select the mandatory "MiFID-relevant data is up-to-date" checkbox. |
| The required MiFID-relevant data is not complete or up-to-date. Enter the missing MiFID-relevant data by using the "Client profiling" activity and return to this step. In exceptional cases, you can override the test by selecting the corresponding "Ignore MiFID-relevant entry" checkbox and entering a corresponding comment in the "Reasons" field. Confirm that the data is up-to-date together with the client and select the corresponding mandatory "MiFID-relevant data is up-to-date" checkbox. |
Suitability status
The corresponding portfolios are checked for the client's investment goals, knowledge and experience as well as the financial situation. The following results are possible:
| The suitability test was successful for all relevant portfolios. |
| The suitability test was not successful. |
Sell recommendations
Here you see instruments that are not longer suited to reach the client's investment goal. The recommendations result from the comparison of the actual portfolios and the focus list. The focus list (or cover list) is the list with recommendations of the bank's research department for a certain security universe.
| No sell recommendations result from the comparison of the actual portfolios and the focus list. |
| There are sell recommendations from the focus list for the securities in the actual portfolios. |
