Front Office and Compliance

Investment management and client relationship management must both adhere to the rapidly evolving international regulations.

This can be effectively accomplished with tightly integrated portfolio management and client relationship modules: e.g. suitability restrictions must be automatically applied to pre-trade checks, and cash in/outflows above a certain size must be automatically notified to relationship managers for further processing.

In turn, this integration enables a wide range of compliance checks and a precise auditing log.

Regulation-focused CRM database

All forms and documents are designed to fulfil MiFID II and FIDLEG recommendations (among others), e.g. by providing a client profile questionnaire, KYC forms, cross border forms and by defining required documents.

On-Boarding Workflow

Workflow-based and fully audited on-boarding process to ensure that all necessary information is documented following the highest quality standards.

Document Management

Store documents, keep a history of revisions, validate required documents, check signatures and track validity dates.

Database for sensitive data

Sensitive data is stored in a strongly encrypted database, separated from the rest of the application, which can be easily detached and put in a safe.

AML workflow

Flexible definition of mandate-risk levels as well as transaction-risk levels.

Automated transaction checks, workflow-based documentation and processing of high risk transactions.

Support for CDDS and Worldcheck name matching databases.


Fully customizable and tablet compatible dashboard to support relationship managers and to provide dynamic reporting capabilities.

Portfolio Management

We have managed funds and balanced portfolios over several years. We know what portfolio managers need to efficiently manage either single fund or hundreds of client portfolios.

Fund and Portfolio Management

Customizable portfolio view, exposure absolute/vs banchmark/with look-through, cash flows projection, risk measures, money/time weighted performance calculation with support for lombard credits, performance contribution and attribution.


Functionality to group portfolios for performing group operations like transactions, security switches or rebalancing.


Consolidation of different portfolios (regardless of the custodian) to a summary portfolio with calculation of all metrics (performance, exposure, restrictions, …) and availability of reporting functionality.


Manual or automatic model-portfolio-based rebalancing with optional definition of SAA/TAA and benchmarks for a precise performance attribution.


Manual and automatic pre- and post-trade checks of contractual and compliance-related restrictions.


Configuration of fee and tax schedules for a pre-trade costs assessment, a precise trade reconciliation and invoicing.

Asset class structure

Fully customizable assets categorization tree (asset classes, currencies, regions, sectors, duration, …).

The categorization is calculated automatically according to rules and can be overridden manually.

Execution workflow

Transactions which are ready to be executed are conveniently pooled and grouped by custodian and deposit. Assetmax can automatically generate spreadsheets and trade tickets to be submitted to the relevant broker or bank.


Ever wanted to produce a client-specific report with some custom information but didn’t manage to integrate it into the existing reporting functionality?

Assetmax reports are made very customizable. We use a very powerful templating system which allows maximum design flexibility and pixel-perfect PDF generation. Alternatively and for maximum flexibility, some of our clients are generating custom reports through Excel by using our add-in and by performing additional calculations in VBA.

Furthermore, our visual reporting Designer makes it very easy to prepare reports on-the-spot by dragging and dropping content components.

Reporting engine

Template-based reporting engine that enables the precise layouting of your corporate design.

Report designer

Visual component-based reporting designer to construct complex and client-specific reports in a few mouse clicks.

Ready-to-use reporting components for positions, performance, contribution, exposure charts and many more.

Excel add-in

Powerful Excel add-in to import data into Excel for elaboration and report generation.

Back Office

Reliable and error-free data is key to investment management. Unreliable data can undermine investment decisions or result in misleading reporting.

Assetmax automatizes all central, data-related processes: sourcing, monitoring and enhancement of financial and portfolio data.

Back Office activities can be optionally outsourced to our competence center in Lugano or to one of our partner outsourcing companies.

Financial database

Our financial database provides a powerful data download, aggregation, correction and quality enhancement functionality.

Static information (like description, categorization of financial instruments), corporate actions, time series can be automatically downloaded from SIX Financial Information, Bloomberg, Market Map, Datastream, Factset or even a Custodian. Alternatively, data can be managed manually.

Sophisticated statistical tests always ensure the best possible quality.

Bank data links

Electronic link to several major banks including Credit Suisse, UBS, Julius Baer, LGT, Société Générale and many more.

New links can be added on client’s request.


Automatic reconciliation of portfolio positions, cash accounts, transactions, corporate actions, commissions, taxes and management fees.

Management and Finance

Assetmax models fee schedules, courtages, broker commissions, management fees and taxes. This allows to prepare invoices for management fees, profit participation (if applicable) and perform very detailed profitability statistics.


Flexible invoice preparation and exporting for clients and custodians.


Calculate introducer’s compensation and generate detailed reports.

Profitability Analysis

Analyze profitability, ROA, fund penetration, paid commissions and fees. Keep track of trading taxes
and volume discount receivables.


Assetmax has been built using the newest technologies to meet the most recent standards in terms of both usability and market best practices.

Web based

Based on the newest web-based technologies, Assetmax is a modern software solution that requires no local installation (it runs on a browser) and is mobile friendly.

The technology used keeps installation and maintenance costs at a minimum, and no licensing for additional third-party products is needed.

Cloud or local

Depending on client’s needs, Assetmax can be installed in the Cloud (e.g. in a FINMA compliant hosting provider) or locally at the client’s office.


Assetmax brings the highest security standards with a flexible access control, two step authentication and a strongly encrypted database for confidential data.


The importance of integration can’t be stressed enough. Since all Assetmax modules are strongly interconnected and data is kept centralized, the entire work process is tied together and is consistent in terms of data and workflow.

E.g. a suitability restriction set by the relationship manager gets immediately applied to the portfolio management module.


Experienced developers can use our REST interface to access Assetmax’s functionality and extend it, e.g. by programming risk models in MATLAB or custom reporting functionalities in VBA.