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TIPS FOR DISCRETIONARY INVESTMENT MANAGERS ON TRANSACT

To help you get the most out of Transact Online as a Discretionary Investment Manager (DIM), we have outlined the key functionality and resources our platform provides for you below.


Template (Model Portfolio) Menu

All Template functionality is under one top-level menu. Particularly useful if you use Templates on a regular basis. You can create, edit, delete and copy Templates from here, as well as run a range of reports.

Funds Swap

This functionality allows you to edit a Template and then sell and buy the investments you have adjusted. Useful when you don’t want to rebalance all the investments in a particular wrapper.

Multi Template Create/Edit

You can create or edit a number of Templates in one go by uploading a spreadsheet of data. The downloadable XLSX spreadsheet to edit Templates will include details of all your Templates,  including the investments, their ISIN codes and the Template percentages. You can edit the details in the spreadsheet format and then upload the revised version to submit changes in bulk.

Multi Buy/Sell

This functionality allows you to select the specific investments you want to sell or buy providing a clutter-free multi buy/sell spreadsheet which makes mass trade instructions very straight forward.

Periodic Reporting - MiFID II

You can opt in to our DIM Reporting Service to manage client report production, templates and benchmarks in order to meet your periodic reporting obligations required under MiFID II. The service generates:

  • 10% Depreciation Reports automatically – Sent within 24 hours when assets have fallen by 10% or more since the start of a quarter.
  • Quarterly Investment Reports – Provides summary investment performance, valuations and comparisons with selected benchmarks.
Payment & Payment Rates Report

The Payment Report shows the fee rates your client has instructed us to pay you. As we do not know what you have agreed with the adviser and the client, it is the responsibility of the DIM to check these fee rates. The report can be found on Transact Online at: Reports > Payment Rates.

We recommend that you use this report to check the fee rates a client has instructed us to pay you each time a client has appointed you.

Clients without an adviser

The adviser normally selects a DIM for their client. Because of this, where the client-adviser relationship is ended then Transact also de-link the client from the DIM. If the client would like the DIM to continue to manage their investment then they, or their new advisers, can send written confirmation.

Requesting for a fund to be added

If we do not currently offer the investment you are looking for (search by going to Information > Investment Search), you can ask our team to consider adding the investment. Simply go to ‘Information’ > ‘Investment Search’ on Transact Online, click on the ‘Request’ link and provide the outlined information.  

Further questions?

You can contact our Third Party Support Team directly using the details below if you have any questions about DIM functionality or services, or alternatively you can contact us here.

 

Third Party Support Team

Email: thirdparty@integrafin.co.uk

Resources

The following DIM User Guides are available on Transact Online. Log in and go to: Information > User Guides.

  • Third Parties on Transact User Guide – You can access a detailed User Guide which outlines everything you need to know about managing Templates as a DIM on Transact Online.
  • Discretionary Investment Managers User Guide – This guide is designed specifically for DIMs and sets out the key aspects of the Transact Online service for DIMs.
  • Adviser Firms Using Discretionary Investment Managers User Guide – This guide explains the key responsibilities that should be considered when using a DIM service through Transact Online.
  • Restricted Share Classes Adviser Q&A – This guide sets out what restricted share classes are and how restricted share classes work at Transact for DIMs and adviser firms.
This is for information purposes only and does not, and is not intended to, constitute professional advice. It is not a recommendation or a financial promotion. It is for general guidance and for use by professional advisers only. Unless stated otherwise, any opinions expressed are our own or based on our interpretation of relevant rules and regulation.
This website is designed to be used by financial advisers, their clients and professionals. It is intended as general guidance only and should not be viewed as a recommendation to use or rely on any features mentioned. The information is not advice, nor is it a substitute for advice.
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"Transact" is operated by Integrated Financial Arrangements Ltd. 4th Floor, 2 Gresham Street, London, EC2V 7AD. Tel: 020 7608 4900 Fax: 020 7608 5300. (Registered office: as above; Registered in England and Wales under number: 03727592). Authorised and regulated by the Financial Conduct Authority (entered on the Financial Services Register; no. 190856).