at Financial Technnology Year
Please contact them if you have any questions.
Refinitiv Client Onboarding from Refinitiv (LSEG)
An integrated onboarding solution that provides real-time data and workflow management tools to facilitate KYC compliance, streamline the documentation process, and enhance client experience through a user-friendly interface.
Product analysis by function
Client Onboarding Systems for Client Relationship Management
Digital platforms that streamline the client intake process, including document collection, due diligence, suitability assessment, and account setup while ensuring regulatory compliance.
More Client Onboarding Systems
More Client Relationship Management ...
User Experience & Interface
(9 Yes /9 Known /10 Possible features)
|
Customizable Onboarding Workflows Ability to tailor onboarding steps and screens based on client type or business process. |
Refinitiv describes configurable onboarding workflows for different client types and business processes. | |
|
Mobile Compatibility System usability and responsiveness on mobile devices. |
Refinitiv materials state mobile usability and responsive interface are supported. | |
|
Multi-Language Support Ability to provide onboarding in multiple languages. |
No information available | |
|
Self-Service Portal Clients can update or provide onboarding information independently. |
Clients can access and update onboarding information via a dedicated portal. | |
|
Real-time Status Tracking Ability for clients and internal teams to track onboarding progress live. |
Refinitiv allows tracking onboarding progress in real time by both internal teams and clients. | |
|
Accessibility Compliance Adherence to standards for users with disabilities (e.g., WCAG). |
Global companies like Refinitiv typically offer WCAG or accessibility features, though specifics are not confirmed on public site. | |
|
Inline Help and Tooltips Contextual guidance available to users during onboarding. |
UI provides contextual help and tooltips during onboarding, as highlighted in solution demos. | |
|
Dynamic Questionnaires Forms adapt to user responses to simplify data entry. |
Dynamic/adaptive questionnaires are referenced as core to their onboarding experience. | |
|
Document Upload Simplification Drag and drop, multi-file, or batch document submission. |
Drag-and-drop bulk document upload capability is advertised. | |
|
Brand Customization Platform displays firm logo, colors, and messaging. |
Platform branding with client logos and colors is supported. |
Data Capture & Document Management
(8 Yes /8 Known /10 Possible features)
|
Bulk Document Upload Allow clients to submit multiple compliance documents at once. |
Bulk document upload supported by the onboarding document system. | |
|
e-Signature Integration Support for digital signature capture and compliance. |
Integration with e-signature providers and digital signature compliance is cited. | |
|
Smart Document Recognition OCR and auto-tagging for uploaded files. |
Smart document recognition mentioned (OCR and auto-tagging of uploaded KYC documents). | |
|
Data Validation Rules Automatic checking of data completeness and integrity. |
Data validation of onboarding forms is available per workflows documentation. | |
|
Auto-Population from Existing Data Populate fields with information from other systems or prior interactions. |
Auto-populates fields from previous or external data sources (e.g., ref data, existing client data). | |
|
Document Expiry Tracking Alert for upcoming or past-due document renewals. |
Document expiry/renewal tracking and alerts are a standard feature. | |
|
Progressive Data Collection Ability to save progress and resume onboarding later. |
Users can save onboarding progress and resume later. | |
|
Version Control Track document changes and maintain an audit trail. |
Version control and audit trail for document changes is standard practice. | |
|
Upload Speed Average time taken to upload documents. |
No information available | |
|
Storage Capacity Maximum data/document storage per client. |
No information available |
Due Diligence & Compliance
(9 Yes /9 Known /10 Possible features)
|
Automated KYC Checks Systematic validation of identity information. |
Automated KYC checks are core to Refinitiv onboarding. | |
|
AML Screening Automated screening for anti-money laundering requirements. |
Automated AML screening features are highlighted. | |
|
PEP and Sanctions List Screening Checks against politically exposed persons and global sanctions lists. |
PEP/sanctions screening (global lists) is built-in. | |
|
Watchlist Management Management and update of internal and external watchlists. |
Watchlist management (including internal/external lists) featured. | |
|
Customizable Due Diligence Levels Support different risk tiers and processes by client type. |
Customizable due diligence risk levels supported. | |
|
Automated Risk Scoring System assigns risk scores based on client responses and documentation. |
Automated risk scoring engine described in KYC compliance features. | |
|
Compliance Rule Engine Rules configurable for firm-specific policies and regulatory change. |
Allows for firm-specific rules and regulatory updates (rule engine). | |
|
Audit Trail for Compliance Checks Comprehensive logs of all due diligence actions. |
All compliance checks logged with audit trails. | |
|
Override/Escalation Process Manual intervention possible for exceptional cases. |
Manual escalation or override for onboarding exceptions is supported. | |
|
Screening Speed Average time required for compliance screening per client. |
No information available |
Suitability & Risk Assessment
(1 Yes /1 Known /9 Possible features)
|
Automated Suitability Questionnaire System-driven questions to evaluate client risk profile and suitability. |
No information available | |
|
Dynamic Profiling Engine Automatically generates or updates investor profiles based on responses. |
No information available | |
|
Scoring Algorithm Transparency Clear documentation on how risk and suitability scores are calculated. |
Transparency in risk/suitability scoring method is referenced in compliance documentation. | |
|
Scenario Analysis Tools Model potential investment outcomes with clients during onboarding. |
No information available | |
|
Suitability Report Generation Automated creation of suitability documents for record-keeping. |
No information available | |
|
Automated Alerts for Policy Breaches Notification if client preferences do not match risk mandates. |
No information available | |
|
Periodic Suitability Reassessment Trigger regular re-evaluation based on market or personal changes. |
No information available | |
|
Peer Benchmarking Compare client responses to peer groups for context. |
No information available | |
|
Time to Complete Assessment Average client time to complete suitability assessment. |
No information available |
Communication & Collaboration
(7 Yes /7 Known /9 Possible features)
|
Integrated Messaging Real-time chat or message features within the onboarding platform. |
Platform offers chat/messaging for onboarding collaboration. | |
|
Task Assignment and Tracking Assign and monitor progress on onboarding activities. |
Onboarding workflow includes task assignment and tracking. | |
|
Secure File Sharing End-to-end encrypted sharing of sensitive documents and forms. |
Secure, encrypted file sharing built into portal. | |
|
Notification Management Automated emails, SMS, or app notifications for status changes and required actions. |
Notification management via email/SMS/app for updates and required actions. | |
|
Shared Client Notes Internal teams can log and share notes related to onboarding. |
Internal notes can be shared between staff on client files. | |
|
Client Meeting Scheduling Incorporate scheduling and calendar integration for onboarding meetings. |
Meeting scheduling and calendar integration referenced in onboarding features. | |
|
Approval Workflow Management Automated routing to required signatories or reviewers. |
Approval workflows/routing built into the system. | |
|
Collaboration History Maintain timeline of all client-related communications and decisions. |
No information available | |
|
Attachment Size Limit Maximum allowed size for individual file attachments. |
No information available |
Integration & Interoperability
(7 Yes /7 Known /9 Possible features)
|
Core System Integration Ability to connect with CRM, fund accounting, portfolio management, and reporting systems. |
Integration with CRM, fund admin, portfolio/man. and reporting core systems available. | |
|
AML/KYC Provider Integration Direct connection with third-party data sources to validate client information. |
Can connect with external AML/KYC validators. | |
|
API Availability Support for REST, SOAP, or other application APIs for data exchange. |
APIs (REST, SOAP) are available and advertised for integrations. | |
|
Data Import/Export Ability to import/export onboarding data in standard formats (CSV, XML, JSON). |
Onboarding data can be imported/exported in multiple standard formats. | |
|
Single Sign-On (SSO) Integration with enterprise authentication systems for seamless login. |
Single sign-on supported (enterprise integration and SAML support mentioned). | |
|
Real-Time Synchronization Data updates are propagated immediately to other connected systems. |
Real-time synchronization between onboarding and other connected Refinitiv/LSEG/fund admin systems. | |
|
Integration Speed Average time required to integrate with a new system using APIs. |
No information available | |
|
Number of Supported Integrations Count of external systems the platform can connect with natively. |
No information available | |
|
Custom Integration Toolkit Provision of SDKs or tools for custom workflow integration. |
Custom integration tools/kits available for large institution clients. |
Security & Privacy
(8 Yes /8 Known /9 Possible features)
|
Role-Based Access Control Customizable access permissions for staff and client users. |
Role-based permission administration is standard in onboarding and security features. | |
|
End-to-End Data Encryption Encryption of data at rest and in transit. |
Data is encrypted end-to-end, both in transit and at rest. | |
|
Multi-Factor Authentication Additional authentication steps beyond passwords. |
Multi-factor authentication supported for both client and staff logins. | |
|
Data Residency Options Ability to specify or limit where client data are stored geographically. |
Large enterprise clients can select where data is stored (data center region options given). | |
|
GDPR and Data Protection Compliance Meets requirements for Europe and/or applicable global standards. |
Explicit reference to GDPR/CCPA and global data privacy compliance. | |
|
Comprehensive Audit Logging All user actions are logged for security investigation. |
Comprehensive audit logging included for monitoring and investigations. | |
|
Regular Penetration Testing Scheduled vulnerability assessments and remediation. |
Penetration testing and regular vulnerability assessments conducted as part of annual ISO/SOC attestation. | |
|
Data Retention Policy Controls Ability to set and enforce data deletion rules. |
Data retention controls and policies can be set and enforced. | |
|
Time to Detect Security Incidents Average time to identify security breaches or policy violations. |
No information available |
Operational Efficiency & Automation
(4 Yes /4 Known /9 Possible features)
|
Automated Reminders & Escalations System-generated notifications for outstanding tasks. |
Automated reminders and escalation for overdue onboarding actions. | |
|
Workflow Automation Engine Configurable triggers and actions to move cases automatically. |
Workflow automation for routing, approvals, triggers is a major product feature. | |
|
Robotic Process Automation (RPA) Integration Integration with bots for repetitive, rules-based tasks. |
No information available | |
|
Bulk Client Processing Onboard multiple clients simultaneously using batch operations. |
Bulk client onboarding/processing supported. | |
|
Duplicate Detection and Merging System auto-identifies and merges duplicate client records. |
Duplicate client detection/merge supported. | |
|
Approval Turnaround Time Average elapsed time for onboarding approval steps. |
No information available | |
|
Average Onboarding Completion Time Mean time from start to finish for new client onboarding. |
No information available | |
|
Task Automation Rate Percentage of onboarding steps handled without manual intervention. |
No information available | |
|
Error Reduction Rate Percent decrease in errors due to automation. |
No information available |
Reporting & Analytics
(7 Yes /7 Known /9 Possible features)
|
Onboarding Funnel Analytics Visualization of client progress through each stage of onboarding. |
Funnel analytics of onboarding pipeline are available as dashboard widgets. | |
|
Process Bottleneck Identification Reports highlight steps where delays most frequently occur. |
Reporting on process bottlenecks and common delay points is available. | |
|
Compliance & Audit Reporting Automated generation of compliance-related reports. |
System can generate compliance and audit reports, including for KYC/AML. | |
|
Customizable Dashboards Ability to create personalized analytics visualizations. |
Customizable dashboards can be created by users/admins. | |
|
Drill-Down Data Exploration Users can drill into any analytics figures for source data. |
Drill-down analytics supported for supporting information on process metrics. | |
|
Scheduled Report Delivery Automated distribution of reports to stakeholders. |
Scheduled report delivery via email/SFTP or user notification. | |
|
Exportable Data Sets Data and analytics can be exported for offline downloads. |
Analytics and data can be exported as standard files (CSV/XLS/JSON). | |
|
Average Report Generation Time Typical time to produce a standard onboarding report. |
No information available | |
|
Number of Available Reports Total templates or types of onboarding/process reports provided. |
No information available |
Scalability & Performance
(2 Yes /2 Known /8 Possible features)
|
Concurrent User Capacity Maximum number of active users supported at once. |
No information available | |
|
Onboarding Volume Throughput Number of onboarding requests processed per day. |
No information available | |
|
System Uptime SLA Guaranteed minimum system availability. |
No information available | |
|
Disaster Recovery RTO Recovery time objective after a catastrophic event. |
No information available | |
|
Load Balancing Automatic distribution of processing tasks to optimize resource use and performance. |
Load balancing and high availability architecture are referenced for enterprise clients. | |
|
Elastic Capacity Ability to dynamically scale resources up/down with demand. |
Elastic scaling in cloud or hybrid model described for onboarding burst needs. | |
|
API Request Rate Limit Maximum number of API requests supported per second. |
No information available | |
|
Latency on Peak Load System response time under maximum usage conditions. |
No information available |
Support & Maintenance
(6 Yes /6 Known /8 Possible features)
|
24/7 Support Availability Round-the-clock technical and user support options. |
24/7 technical and user support is available. | |
|
Dedicated Account Manager Personalized support contact for major clients or deployments. |
Dedicated account managers are provided for enterprise contracts. | |
|
User Training Materials Provision of documentation, videos, or webinars for system users. |
Extensive online documentation, webinars, and user guides available. | |
|
Release Notes and Update Alerts Communication of new features, bug fixes, and platform changes. |
Release notes/alerts for new features and platform changes published. | |
|
Online Knowledge Base Self-serve documentation and troubleshooting guides. |
An online knowledge base or self-service portal is provided. | |
|
Service Level Agreement (SLA) Contracted commitments to uptime and response times. |
SLAs for uptime/performance are contractually available. | |
|
Average Support Response Time Mean time to respond to support queries. |
No information available | |
|
Patch/Upgrade Frequency Average frequency of updates, patches, or releases. |
No information available |
This data was generated by an AI system. Please check
with the supplier. More here
While you are talking to them, please let them know that they need to update their entry.