A Portfolio Management Partner · 2014-04-07 · FIN® A Portfolio Management Partner “FIN is an established strategic partner” Since 1969, FIN’s, multi currency, portfolio

FIN®

A Portfolio Management Partner

“FIN is an established strategic partner”

Since 1969, FIN’s, multi currency, portfolio management and accounting system has been a strong foundation on which

investment professionals and SMA sponsors rely on to run their business. FIN continually builds on this foundation to

improve and expand, using the latest in cutting-edge technology. The company’s real-time feature-rich system is a total

technology solution for any investment professional.

Over the years, FIN has worked with investment firms of all sizes. Through collaboration with the investment community,

the company has built a wide range of features to provide clients with the necessary tools to streamline their business.

Furthermore, FINGPS® is a customizable and flexible solution that meets the needs of every investment manager. We take

pride in creating a functional environment around your firm, not the other way around.

In the years FIN has been in business, the financial industry has changed radically with the tendency toward a global

viewpoint. By keeping up with the latest in technology, the company has been able to change with the industry, and even

keep one step ahead.

FIN succeeds by building long lasting relationships. Our Client Services Group is comprised of former financial practitioners

you can rely on for their business acumen, responsiveness and resourcefulness to make recommendations that provide you

comprehensive business solutions. We take pride in combining excellent service with industry knowledge; which is a key

differentiator of FIN.

system customization

stand alone applications

supports multiple management styles

sub accounting & combining accounts

CRM functionality

unlimited information retention

user & firm-wide privilege controls

reduce redundancy

streamlined workflow

real-time results

straight through processing

disaster recovery hot sites

business continuity support

host servers

100% proprietary data structures

import / export data

Integrated System Architecture

“FIN’s database architecture allows for seamless operational

efficiency while providing a powerful and sophisticated front-end

that investment advisors like myself rely on.”

Integrated Proprietary Based Architecture allows you to create

operational efficiencies so your firm can focus on clients

Reporting

Marketing

Accounting

Trading

Compliance

Operations

With heightened regulatory requirements and

increased transparency in the marketplace,

principals require specialized tools to help

monitor activity.

Investment professionals require a system that

allows them to monitor portfolios to mitigate risk

for both pre and post trade compliance.

Our robust customizable platform utilizes firm

wide mandates to create exposure and

exception reporting on all levels. An example of

exceptions reports include: monitor negative

cash balances, % change from cost, industry

guidelines, performance percentage changes,

and more.

SEC audit and compliance capabilities:

Commission Reporting

Account Turnover

13-F Reporting

Class action research

Date of Death Reporting

Recreate account history

Performance links

No-name accts

Blue sky

ERISA accounts

These tools provide end-to-end transparency enabling users

to manage the entire trade life cycle and pinpoint areas for

improvement and monitor progress.

Firm Wide

Sector guidelines

Industry and position size

Cash guidelines

Account Specific

Trading restrictions

Cash availability

Non-industry restrictions

Positions restrictions

Specific assets restrictions

Wash sale logic

Trade Specific

Do not buy a security based on similar asset

Trade defined cash requirement

Buy/Sell to guideline in account

Buy/Sell a multiple of an account based on standard position

Establish Hard versus Soft restrictions in order creation

Post Trade

Security and shares or face value

Execution price

Calculated or pre-agreed commission rate

Other fees as to reasonability

Custodian identity

Confirmed account information

Compliance & Review Management

“FIN’s compliance reporting improved our firm transparency in our day to day operations”

Proactive Portfolio Management

Think about all of the things that take you away from spending productive time with your clients. This may include unexpected market changes or geopolitical events from the time you walk in the door to the time you leave your office.

The benefits of utilizing our robust platform include:

Review Process Each manager has over 400 reports to choose from to conduct a complete analysis of an investment portfolio. Account management includes an analysis of client investment philosophy, areas of interest, professional background and other factors. Periodic oversight includes both qualitative and quantitative measurements.

Personalized Approach The CRM functionality manages firm’s interactions with its clients and sales prospects by organizing, automating and synchronizing its business processes. Each manager will be able to assess needs and time horizons, as well as tolerance for risk.

Industry Leading Data Market data that includes capital changes, benchmark, indices comparables and foreign currency data for all security types. Users also have the ability to import third party pricing information.

Direct Access The FINGPS® platform provides investment professionals with customized and scheduled reporting keeping you informed of both short and long term results. To simplify the reporting functionality, we offer batch processing and internet reporting to further automate report generation.

Revenue Management

Our integrated system was developed to meet the

demands of investment professionals. The system enables

setting up fee schedules with multiple gradations based

upon account size. Hundreds of different fee schedules are

possible and many variations within each schedule are

permitted. Features include:

Accounts Receivables

Combined accounts

Cash Flow projections

All Security types accommodated

Highlights

GIPS compliant

Pre & Post trade compliance

Drift reporting

Create models based on sector or strategy

Rebalance portfolios by selected or groups of accounts

Ability to trade from what-if scenarios

Enhanced performance and risk tools

Multiple composites

Multi-Currency

FINGPS® can automate many tasks and save you valuable

time. Managing any portfolio style requires significant

amount of time and investment expertise. Our structured

and comprehensive platform, provides customized

solutions.

“FIN® has an integrated and comprehensive portfolio management system that saves me time, satisfies all my management needs, and allows me to spend more time with my clients”

Fixed Income Management

:

Weighted Modified Duration

Yield to Cost

Convexity

Original and Inflation Adjusted Par

Ratings

OID

Cash Flow Projections

Automatic Posting:

Fixed Income securities are no longer an

afterthought, they have become an integral part

of balanced portfolios. Properly constructed bond

portfolios provide income, total return and

diversity of any equity portfolios and can be as

risky or safe as desired. Recent volatility in the

capital markets has introduced unprecedented

challenges for fixed income investment

professionals. Some of these challenges are

related to portfolio duration, yield curve

structure, sector risk and security selection.

Our comprehensive and customizable portfolio

management system is capable of handling all

fixed income product types and closes the gap

between functionality and market needs.

FINGPS® automatically processes CMO/Mortgage

Backed pay-downs. The system generates

amortization and accretion calculations for tax

reporting on most bonds including CMO’s. Our

automated processing of floating rate issues

adjusts rates based upon reset parameters and

includes caps and floors. Bond payment delays,

and other complex issues, are properly

accounted for in the accrual process. Duration

and yield calculations are based on call data

including pre-refunds for proper numbers.

Each user has the ability to produce portfolio presentations for investment

committees, clients as well as prospective clients. Although you have

many styles to chose from you can customize a report as well as create

fixed income functionality to meet your firm needs. The Fixed Income

Analytics Tool provides users the following but not limited to:

“FIN® has found a constructive way to manage fixed income portfolios”

Weighted Modified Duration

Yield to Cost

Convexity

Original and Inflation Adjusted Par

Ratings

Trade & Order Management

Optimize Workflow Increase Distribution Maximize Efficiency

The trade and order management functionality is fully integrated with the FINGPS® Global Portfolio Management System providing users with portfolio modeling, rebalancing, block trading and ticket creation. With our FIX connectivity users can seamlessly route orders to selected brokers providing timely executions with the ability to track open orders and executed trades intermittently throughout the day.

The trading system implements compliance automation that provides real time alerts for trading restrictions or account guideline violations. Sector and industry guidelines enable mass management of accounts while maintaining client goals and restriction constraints.

Our straight through processing capabilities provide electronic order generation, execution and confirmation reconciliation for efficiency and accuracy. The system interfaces with 3rd party service vendors that allow users to send allocations to brokers and custodians as well as match confirms to security transactions, produces match reports, affirms matched trades and archives confirms. Reconciliation between broker, custodian and investment advisor can be automated taking advantage of broker efficiencies and priority trading, rather than getting lost in a sea of paper.

“This platform provides low latency and customizable trading that allows me to link to my custodian and provides straight through processing….unmatched in the industry”

“FIN’s personalized and customized approach has benefited my firm”

The FIN® Advantage

Client Support Services

As former financial practitioners our

associates offer extensive industry

knowledge. In turn, our associates

understand your firm's needs and are

able to provide support and engage in

best practices, business process

improvement, and business intelligence

concepts that will benefit your firm. We

believe that although we have a robust

system unmatched in the industry, that

one of our key differentiators is our

employees at FIN®.

Best Practices: Saves You time.

Improve Methodologies

System Enhancements

Disaster Recovery & Business Continuity Support

Business Process Improvement: Cut Costs

Automated Administrative & Operational Workflows

Customize Reports & Functionality

Scalabilty

Business Intelligence: Gain Competitive Advantages

Model Generation

Collect Information From Multiple Sources to Support Strategic Decisions

Analyze and Present Information in Useful Ways

Strategic Considerations

Our Mission Is Simple

Our company’s philosophy reflects its focus of achieving long-term relationships by enhancing system

capabilities to accommodate the evolution of industry needs. Automation to improve investment firm

efficiencies is our primary focus. We have been able to take advantage of the infinite possibilities in delivering

our product to clients and continue to build lasting strategic relationships.

∙ Customization∙ Server Replication∙ FIX STP∙ Partnership Accounting∙ Corporate Action Support

∙ Internet Reporting∙ Service Bureaus∙ Risk Metrics∙ Market Data Access

∙ Disaster Recovery Support∙ Enhanced Performance Tools∙ Flexible Reporting∙ Compatibility With Third Party Systems

FORMING STRATEGIC PARTNERSHIPS FOR OVER 40 YEARS

www.fingps.com

Financial Information Network, Inc.6656 Valjean Avenue

P.O. Box 7954Van Nuys, CA 91409

(818) [email protected]