DIAMOS RecordKeeping

The core of efficient transfer agency

DIAMOS RecordKeeping provides comprehensive functions to support your transfer agency processes.

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 / probate maintenance
  • Power of attorney
  • Transaction-based record keeping, 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)
  • Calculation and administration of surpluses within own stock / automated reconciliation
  • Automated data capture from settlement notes (prices, foreign exchange rates, settlement date)
  • Calculating of profit and loss 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 for

  • Order validation (e.g. amount based)
  • Payment validation (e.g. payment type / amount based)
  • 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
  • Efficient implementation, rapid deployment and quick return-on-investment thanks to:
    • Flexible system architecture integration
    • Standard configurations, which facilitate initial parameterization
  • Future-proof investment security due to the consequent use of established open standards
  • Individually licensable, scalable as and when required to fit your needs and those of your IT-environment

DIAMOS RecordKeeping is based on the DIAMOS system platform, which provides significant benefits that are available as basic functionalities. These include i.e.:

  • State of the art, future-proof system architecture with maximum security standards
  • Transaction-based workflow management with real-time processing
  • Multi-client, multi-lingual, multi-currency capabilities
  • Central data management across all products
  • 24/7 system availability
  • Enhanced definable user-rights concept
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Free of charge & without obligation

Get to know our solution and contact us for a WebEx-session or a personal presentation. We look forward to designing your customized product and service solution: Your contact to DIAMOS