Restrictions

The client’s investment restrictions, bank provisions or regulatory directives from supervisory authorities or lawmakers, e.g. cross-border rules, are recorded under Restrictions. Restrictions can be defined in accordance with various criteria at the asset class or instrument level. Restrictions can be defined manually or generated automatically based on the client profile (e.g. knowledge of financial instruments under MiFID) and in accordance with the bank’s provisions.

If restrictions are breached the user is notified by means of warning messages. Breaches of restrictions can also be monitored on an ongoing basis.