Merry Christmas from Greenman. Please note that our office’s last working day will be Friday 22 December and will reopen on Tuesday 2 January 2024.
Merry Christmas from Greenman. Bitte beachten Sie, dass unser Büro bis Freitag, den 22. Dezember besetzt ist und am Dienstag, den 2. Januar 2024 wieder öffnet.

Any difference in funds received which is outside 5% of booked amount value on an investment (SDIO & non-SDIO) - daily action

Any application pushed to stage 5 on CRM which is missing AML or the subform hasn’t been fully completed, or funds received with no application

Any change to the share class or subfee made during the quarter or in the 60days eg. Share Class on Cantor file is different to the application

Queries from external or DT; who, what, where, when, why, how? - what documents are needed, when are they needed by? what documents are needed wet ink compared to scan? Form filling. Pre investment queries. Processes, requirements, timeframes.

Client cancellations of investment during the quarter or 60days

Investments which get moved from current quarter to the next quarter. Eg. not enough of the subpack received before quarter close

The request (once signed subform/STF is received) for an SDIO & non-SDIO investment to redeem their investment

The request for information based on the Redemptions process, eligibility etc. but no signed docments have been received.

The request (once signed subform/STF is received) for an SDIO & non-SDIO investment to convert Share Class

The request for information based on the Coversions process, eligibility etc. but no signed docments have been received.

Request for the value of an investment as at a current date

Queries related to the value of an investment post investment. eg. related to the NAV, Audit Letters

Related to any questions or queries on any payment made, redemption/distribution payment, payments structure. Related to the clients return rather a brokers fee

The transfer of assets from one existing account to a completely seperatly created account, from Dinamiks side.

An amendment on an existing account. eg. a change in DSFF number (SDIO) or a name change on a non-sdio investment

Inspecie Split request to record and remind FST of split requests that are ongoing, as they happen very few and far between they're easy to forget. - plus, split of funds? (received 1 amount from Cantor, 2 applications set up)

Any amendment requests to a 'Contact' on Dynamics. Eg. Occupation, address, email change - personal information

Changing of bank details on an investors direct investment or a Trustees change of bank details. - investment related

Used as a 'Temporary Storage' category for when FST are advised of a death, but not told any instruction on how to proceed with the investment. (2 options, asset reregistration or redemption)

Retail, Auto, Accelerate, Davy, income 1, income 2 (Hyjetts), income pro (Retail Centres)

Request (signed form) for a clients account to change brokerage. SDIO - Cantor Letter, Non-SDIO - signed form received by the client (and Trustee if needed)

Change of personal detail on a distributors 'Account' on Dynamics, eg. email address name or address changes

Change of bank account details received in for a broker - FST will amend this internally.

Similar to 2.13. Death Notice, this is a holding account. Usually we receive a LOA which in time will follow with an Agency Change, Redemption etc. - theres usally an expiry date on these (6 months) which will be usful for the auto-closure/alerts.

GMO or GES generic queries (not client specific)

Trail Fee/Commission payments & statements, Persistancy Payments, SCC payments? - related to a brokers fees rather than clients returns.

A way to keep track of any New Brokers that come on board, or any companies that rebrand - will be compliance related as we usually pass these queries to them

Requests from an external party, usually in relation to Brochures, Performance Reviews, Newsletters etc. / Group Entity questions Arth, Greenman, Potager, Yes&

KYC queries post investment / post 60days by compliance or Fund Administrator

The right to request access or change or retraction/deletion of any personal data related

Any breach in GDPR which needs to be broght to the attention of Compliance. Eg. details on an investment provided to the wrong Trustee, Commission Statement sent to the incorrect broker

Compliants received externally for Compliance teams attention.

Pre log-in - sign-in issues, brokers forgetting passwords, brokers not yet set up on the portal

Any queries that may arise as the broker is actively using the portal eg. Document Location, glitches or, the request for documents via email which is available on the portal

Any system issues, glitches FST come across, updates needed - on a daily basis

Currently Docusign, but also for any other Esignature platform used in the future

Currently IDPal, but also for any other software used in the future