Investment management in your corporate group covers a wide range of administrative, operational and strategic activities and actions. All legal obligations and internal regulations applicable to your organization must be fully complied with at all times, across all departments, divisions and legal entities. The feasibility, controllability and, above all, verifiability is often difficult to enforce in practice and always amounts to a core question: Is your investment management truly audit-compliant throughout?
A web-based investment management solution must meet these four essential characteristics, so that you can sustainably and consistently implement all criteria of audit compliance in your company:
1. Proper and complete storage
The core point is a central, modular IT system that merges smoothly with your existing data landscape via configurable interfaces and uploads. It serves to form complete, reliable data sets with all essential data, information, files and contexts from your previous data sources for all participating interests, companies and legal entities. The origin of the individual data elements is automatically documented. Changing and supplementary activities are controlled with workflows and permissions and are also recorded automatically, with the user and the time stamp or the validity. Since nothing is ever overwritten in the IT system, you have a time-related archive with a 360° view of your participation structure. With just a few clicks, you can always find all relevant historical, future or current data and information, even in the case of name changes or reorganizations.
The integrated reporting system also supports you in processing these reliable and complete data sets into reports, analyses, data exports and graphical representations. These can be used as required for any desired reporting dates or also on an ad hoc basis for the current date.
2. Clear permissions and protection against tampering
Although your investment and company master data are central and constantly available, not everyone has access to them without restriction. You control the individual, precise access and editing rights via the web-based user interface for internal and external users. These directly access the connected workflows and the integrated reporting system. This means that you always have an overview of all authorizations, and the traceable documentation, with user and time stamp, is generated automatically. This principle applies to all modifications, extensions and additions that are carried out in the IT system itself, to users, data elements, files, information and contexts. Even if these changes or additions are carried out in the source system, this is documented transparently and automatically in the central IT system. In addition, you control collaboration, approvals and other possible control principles via your individual workflows. Thus, you prevent unlawful procedures and, above all, the manipulation of your investment and company master data.
Please note that the effective security of your investment management is also influenced by the operating mode. With our 4D Investment Management, you have the choice between operation in the cloud or on-premises.
3. Traceability and transparency in all activities and data movements
In order to consistently enforce audit compliance in your corporate group, you need workflows and processes that are adapted to your group structure, as well as to the applicable regulations and requirements. All modification activities and movements of master data are automatically saved, and details such as time stamp, user and origin are stored. In this way, you have reliable, time-related documentation. This history is the basis for any audits and also for your reporting related to the reporting date.
4. Immediate and permanent verifiability for beneficiaries
For the audit compliance of your investment and company master data, it is crucial that your central IT system have a time-stamped, automatic memory for data, users, workflows, reporting, data transfer and any other functionalities. In this way, all modification and addition activities are stored, with date, user and any other necessary details. Likewise, the origin of the modification or extension is always clearly documented and thus traceable. In this way, you can cover uploads, inputs and changes directly in the central IT system and also in your source systems. This time-stamped, automatic documentation can also be accessed and viewed by authorized persons at any time. Thus, the change, movement and flow of data and information in the context of your investment management are always available and explicitly traceable.
Summary of 4D Investment Management
Our 4D Investment Management meets these and other requirements. This also allows you to use your potential to keep the time required for cooperation and classic administrative tasks as low as possible and predictable. You are also always well and quickly prepared for audits and any ad hoc decisions. With the audit-compliant 360° view of your complete investment structure, you can effectively achieve your strategic and operational goals, which is also important despite all this.