DIAMOS RecordKeeping

• Coverage of funds and third-party funds – including security funds, real-estate funds, hedge funds, maturity funds, funds with specific cut-off times / settlement dates
• Coverage of savings plans, lump sums, distribution types (incl. payments of dividends in cash, reinvestments)
• Further information on special products such as savings annuity plans, private pension schemes, fund-based asset management

Account registration / input and maintenance of static data

• Account holder static data (KYC i.e. name, addresses, client classifications, bank details, power of attorney, tax data (e.g. tax allowance certificate)
• Distributor data (i.e. sales representatives, sales hierarchies, commission models)
• Anti-Money laundering monitoring

Comprehensive account data management

• Static data management for  addresses, bank details, joint accounts, sales representatives
• Enhanced blocking functionalities (e.g. account and payment blockings, pledges)
• Inheritance management
• Power of attorney
• Probate maintenance

• Transaction-based recordkeeping, flexible scalability to support high transaction volumes
• Quick-entry options for new transactions
• Automated entries / Order transfers -e.g. via SWIFT, Clearstream, XML-data, Excel / CSV files, E-Mail / Fax (RTF, PDF)
• Comprehensive order type coverage (i.e. unit deals, cash deals, split orders, limit orders)
• Support of different transaction types on share level and amounts level – e.g. purchase / sale, switch, split purchases / split sales, cash redemptions / reinvestments of redeemed cash
• Direct allocation to sales representatives and transactions
• Bulk order / netting functionalities
• Flexible cut-off times and days (support of forward pricing)
• Data capture from settlement notes (prices, foreign exchange rates, settlement date)
• Calculation and administration of surpluses within own stock / automated reconciliation
• Calculation of profit and losses from own stocks and reversals
• Best execution approach (MiFID)
• Comprehensive cancellation functionalities, i.e. mass data cancellations, tax adjustments, commission adjustments, fee settlement adjustments, "Delta-Korrektur-Verfahren" (final withholding tax)
• Automated end-of-day processing / year end closing transactions

Comprehensive control functionalities e.g. for

• Data validation
• Validations on subscription periods, minimum amounts, maturities, purchase and sale blocks on fund level
• Transaction validity checks based on sales agreements
• Validity check of execution dates against configured holiday calendars incl. automated generation of alternative execution dates
• Individually configurable 4-eyes-principle
• Order validation  (e.g. amount)
• Payment validation (e.g. payment type, amount)
• Random validations

• Tax data management (e.g. exemption applications) incl. transparent, accurate presentation of exemption applications and interim profit credit
• Distribution and reinvestment calculations
• Full final withholding tax functionality – including tax box

• Integrated fee component (e.g. account fee, initial load)
• Integrated commission component for transaction fees and trailer fees
• Upfront fees ("Zillmerung")
• Compensation / individual rebate schemes (e.g. foreign exchange trading spread rebates)

• Highly automated payment transactions
• SEPA direct debiting as standard pan-European procedure
• Further (national) procedures available (e.g. DTA, DTAZV)
• Reliable import of account statement data
• Multi-currency capability including automated determination and booking of respective foreign exchanges

• Transaction reporting e.g.:
  • Client reporting (e.g. transaction confirmation, account statement, annual tax certificate)
  • Sales reporting (e.g. transaction confirmation agent, commission settlements)
• Miscellaneous reporting e.g. transactions, holdings, trading book, balance lists, distribution lists
• Country-specific reporting e.g.:
  • Germany: "AWV-Meldungen", "Depotstatistik", "§ 24c KWG", "FSADV", "SADV", "Geldwäsche (CFSP)", "MiFID-Report", "Kapitalertragsteueranmeldung", "EU-Zinsverordnung (ZIV)" etc.
  • Luxembourg: "EU-Zinsverordnung" (ZIV) according to Luxembourg law etc.
• Optimized reporting and client correspondence

• Intuitive entry screens and user guided processes
• Comprehensive search and filter functionalities
• Mouse and keyboard entries supported
• Transaction-based workflow management to avoid time-consuming batch-processing
• Essentially reduces processing time, even for complex processes (e.g. distributions)
• 24/7 system availability enables flexible operating times / working stations and individually definable user access rights
• Comprehensive user guides and system documentation

• Audit-proof, transaction-based data storage with complete history
• Transparent display of all transactions
• Secure access for audit and tax audit authorities
• Precise access control thanks to elaborate user-rights-concept