The project for CERES DI focused on providing an online system to meet the needs of the investment house's employees and clients. Employees needed to have access to a tool that would allow them to create, receive and send documents and orders electronically. Clients needed access to a dedicated system to manage their investment portfolios. Of particular importance was the ability to view order history, asset balances, review documents, and approve orders and contracts. The solution delivered had to meet the highest security requirements associated with the financial market. In addition, the system had to be capable of fully electronic data exchange with transfer agents.

Key challenges in the implementation of CERES DI

• Investment order acceptance system.
• Electronic generation of investment agreements.
• Investment processing with online access for clients.
• The ability for clients to approve orders and contracts (with SMS code verification).
• Integration with a transfer agent.

IT solutions for an investment company

The Certusoft team has many years of experience in developing and implementing systems to support financial institutions. The Certusoft system effectively supports the compliance process in a financial institution. Thanks to this experience, Certusoft specialists were able to propose and deliver the best solutions for CERES brokerage house.

After a joint analysis of the business and industry requirements, the Certusoft team created and implemented a dedicated, coherent application according to the established assumptions:

• The central application accessible to employees and customers was implemented.
• The Certusoft platform ensures the electronic exchange of data with the transfer agent.
• The Certusoft Investment portfolio management software allows employees and clients to view assets, order history or current quotes.
• The Certusoft Investment agreements allow employees and clients to create and approve contracts.
• The Certusoft system provides a fully electronic documentation workflow path with the ability to approve documents with SMS code confirmation.
• The Certusoft Financial instruments module is designed to help employees analyze financial instruments.
• With the Certusoft Quotes module, both clients and employees can monitor portfolio quotes in real-time.
• With the Certusoft Contracts module, advisors can create contracts and related documentation.
• The Certusoft system provides support for survey documents with control of the current version and validity of each survey.
• The Certusoft contract management software supports customer data along with data from FACTA, CRS and PEP for surveys and document generation.

What are the benefits of implementing

• Provided tools to support the receipt and transmission of orders and instructions.
• It has reduced the burden on staff by automating the control of up-to-date regulatory documentation.
• The single application provides access to view portfolios that may include multiple financial instruments.
• Simplified investment order-taking by providing access for clients on any device with a web browser.
• Increased the security of information exchange by providing integration with the transfer agent.
• Provide a system that is continuously updated and adapted to changing legal and market requirements.

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More about Dom Inwestycyjny

CERES Dom Inwestycyjny is an independent brokerage house specializing in the selection and distribution of investment funds. The key elements of the CERES strategy are:

• Pre_c_ise selection.
• Active monitoring.
• Investment consulting.
• Investment portfolio construction.

CERES is fully focused on the client and his real needs in the field of investment and wealth multiplication. CERES is a team of specialists with many years of experience in asset management, made up of qualified professionals in the field of investment funds. Wealth management services consist of personalized attention from experienced advisors, as in the best private banking or wealth management models in the world. The implementation of the CERES DI strategy is supported by a comprehensive IT tool dedicated to the needs of CERES - the eCERES system.

CERES Dom Inwestycyjny performs brokerage activities on the basis of a license issued by the Financial Supervision Commission. As part of its investment advisory services, it offers model strategies with different levels of acceptance of volatility and expected returns:

• Conservative Strategy.
• Moderate Strategy.
• Dynamic Strategy.
• Aggressive Strategy.

In addition, as part of its asset management service, it analyzes clients' needs and preferences and creates individual portfolios that are actively managed by specialists. As of September 2021, client assets accumulated in CERES Dom Inwestycyjny funds exceeded a quarter of a billion zlotys. CERES Dom Inwestycyjny S.A. is a subsidiary of EQUES Investment Towarzystwo Funduszy Inwestycyjnych SA, a company engaged in the creation and management of investment funds. TFI has been operating on the market since 2007 and the assets of the funds managed by the company amount to approximately PLN 1 billion.