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Prosperus

Compliance

Compliance is a workflow, not a folder.

Prosperus puts onboarding, categorisation, reviews and reporting on the same rails as the transactions they govern, so the evidence is produced as a by-product of doing the work.

  1. 01Onboarding that asks the right questions

    The wizard walks individuals and legal entities through personal and corporate details, knowledge and experience, trading experience, economic profile and risk profile. Documents are collected at the end, and the record is not complete until they are.

    • Individuals and corporates
    • KYC and AML risk: low, medium, high
    • Approval before the client is active

  2. 02Categorisation under MiFID II and AIFMD

    Retail, professional or eligible counterparty, with the elective professional questionnaire built in: portfolio size, trading frequency and professional experience are asked and recorded, not assumed.

    • MiFID II and AIFMD flags per client
    • Elective professional tests
    • Periodic re-categorisation

  3. 03Documentation by country

    MiFIR identification requirements differ by nationality. The platform knows which identifiers and documents each country needs and asks for exactly those. Source-of-wealth and wealth-breakdown declarations are collected with percentages, as the regulation requires.

    • MiFIR document rules per country
    • Source of wealth with percentages
    • Document vault by subject

  4. 04Periodic reviews you cannot forget

    Every client carries a review status: OK, due soon, overdue or missing. The client book filters on it, and the operations control tower surfaces the overdue ones every morning.

    • Review cycles per AML risk
    • Status filters on the client book
    • Control-tower compliance panel
Mockup of a client compliance panel with categorisation, AML risk and periodic review status per client.
Mockup of a transaction approval queue with pending items and approve and reject actions.

  1. 05Transaction reporting

    MiFIR transaction reports are generated from posted transactions, with decision makers, entities within the firm and template parameters configured once. Athex records export in the format the exchange expects.

    • MiFIR and ARM reporting
    • Athex export
    • ARM settings held per tenant

  2. 06Dual control everywhere it matters

    Transactions, subscription and redemption applications, investment strategies, client information changes and NAV posting all go through maker-checker approval. Approval queues show what is waiting and for how long.

    • Maker-checker on material actions
    • Approval queues with ageing
    • Attributed approvals and rejections

  3. 07Roles, teams and the audit trail

    Access is granted by role and team, directly, by inheritance or through client ownership. Every change is attributed and timestamped. When someone asks who saw what and who approved what, the answer is already written down.

    • Configurable roles and teams
    • Direct, inherited and ownership-based access
    • Attributed, timestamped history

Walk through your onboarding flow with us.

Bring your current checklist. We will show where each item lands in the platform.

Request a demo

Or write to us at [email protected]