AMC GATEWAY YOUR PORTAL TO ACTIVELY MANAGED CERTIFICATES
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ASSET MANAGEMENT | 2014 AMC GATEWAY YOUR PORTAL TO ACTIVELY MANAGED CERTIFICATES The financial instruments mentioned in this document are derivative instruments. They do not qualify as units of a collective investment scheme pursuant to art. 7 et seqq. of the Swiss Federal Act on Collective Investment Schemes (CISA) and are therefore neither registered nor supervised by the Swiss Financial Market Supervisory Authority FINMA. Investors do not benefit from the specific investor protection provided under the CISA.
LEONTEQ SECURITIES AG
MANAGE YOUR PERSONALIZED AMCs
Classical Approach
Investment Manager Client
Individual client portfolio
management Client
Client
Actively Managed Certificate
Investment Advisor Client
Leonteq Securities Client
Actively Managed
Client
Certificate
Source: Leonteq Securities AG, 2013
MANAGE YOUR PERSONALIZED AMCs
Leonteq Securities AG enables Investment Advisors to wrap Web-based advice entry with automated validation against the
their investment strategies into easily distributable and trans- predefined investment guidelines, swift and cost-efficient exe-
parent Actively Managed Certificates (AMCs). cution and tailor-made reporting for the Investment Advisor as
well as for AMC investors are only few of the advantages that
Within such an AMC the Investment Advisor’s strategy portfo-
Leonteq’s AMC Gateway provides.
lio is replicated and the Advisor can flexibly change the compo-
sition of his strategy within previously agreed investment AMCs can further be enriched with proprietary “Add-on strate-
guidelines. The Advisor sends his Trade Advices to Leonteq, gies”, allowing for an additional overlay to the Advisor’s strategy
where after being checked for compliance with the investment portfolio providing Capital Preservation-, Optimisation-, Lever-
guidelines, they are executed via our trading systems with ex- aging- and Hedging- strategies as well as combinations with a
cellent market access. The respective AMC hence reflects the wide range of already existing AMCs.
value of the Investment Advisor’s investment strategy.
The AMC Gateway of Leonteq provides a comprehensive web
frontend, giving Investment Advisors direct access to Leon-
teq’s AMC Platform where they can easily track and manage
their tailor-made AMCs.
2
AMC GATEWAY
YOUR PORTAL TO ACTIVELY MANAGED CERTIFICATES
FEATURES OF THE
AMC GATEWAY
5 STEPS TO YOUR
TAILOR-MADE AMC
Direct Access
1 Sign the Framework Agreement with A personal Login allows Investment Advisors to easily track and
Leonteq Securities AG analyse their tailor-made AMCs on the Leonteq AMC Platform.
2 Define the investment universe and An intuitive web frontend enables the flexible management of
investment guidelines of the the underlying strategy portfolios.
investment strategy
Up-to-date Information
3 Choose a product structure from various
The AMC Gateway provides latest data on each tailor-made
“Add-On” strategies and agreeing on
AMC with valuation and performance figures as well as current
the personalized Product Termsheet
underlying portfolio composition accompanied by a historical
4 The AMC is issued by Leonteq Securities AG trade summary.
as an easily tradable and distributable
Updated product documentation such as regular Product Re-
certificate, replicating the investment
ports and Termsheets can be accessed online.
strategy
5 Easily manage and monitor your tailor- Optimized Advisory Process
made AMCs on Leonteq’s web-based New Trade Advices for AMCs are directly conveyed via the web
AMC Gateway online frontend. They can be entered manually, based on recurring
Trade Advice Templates or uploaded directly from standard for-
mats (Excel).
The addition of tradable instruments to the investment uni-
verse can be requested easily and flexibly online.
Before submission, all Trade Advices can be reviewed and mod-
ified.
After submission, a timely approval process verifies each indi-
vidual Trade Advice for compliance with the defined invest-
ment guidelines before execution.
3
LEONTEQ SECURITIES AG
OUR SERVICES DURING THE LIFETIME OF THE PRODUCT
Web-based AMC Gateway Back-end offering
• Intuitive capture, submission, update and deletion • Automated guideline checks for each submitted
of Trade Advices Trade Advice
• Flexible acceptance of different order types and validities • Swift and cost-efficient Trade Advice execution
• Request for the addition of new tradable instruments through direct market access
to the investment universe • Quoting of daily prices to data vendors such as
• Transparent overview over pending Trade advices and Bloomberg and Reuters
their current execution status • Daily buy and sell liquidity on the Secondary Market
• Detailed Index Summary with current portfolio valuation, provided by Leonteq
portfolio positions and historical index trade summary • Advisory-Process summarized
• Access to updated product documentation such as
Termsheets
• Access to transparent tailor-made Product Reports
with detailed performance attribution and risk-return
key figures
Process Overview
Investment Advisor Leonteq Securities
Advice
Guideline check
Confirmation
Risk- Trade
Monitoring Execution
Trade Summary
Client Actively Managed Certificate
Investment
Product Reporting
AMC Platform
Risk Management
Source: Leonteq Securities AG, 2014
4
AMC GATEWAY
YOUR PORTAL TO ACTIVELY MANAGED CERTIFICATES
AUTOMATED PRODUCT REPORTS
• Regular tailor made Product Reports showing product
valuation, performance including performance attribution,
current portfolio allocation, risk as well as return figures
• Tailor-made daily Advisor Report showing detailed strategy WHAT IS THE
and product valuations, complete portfolio allocations
and instrument prices as well as trade summary with AMC GATEWAY?
detailed execution conditions
• Regular Fee Reporting • The AMC Gateway is a web-based user
(accrued advisory and performance fees) interface that enables direct access to
• Online access to updated product documentation such Leonteq’s AMC Platform.
as Termsheets
• Investment Advisors can view and effectively
manage their tailor-made AMCs online.
• Automated intuitive processes allow for
an optimized advisory process as well as
swift and cost-efficient execution of
submitted Trade Advices.
• Online access to transparent reporting for
the Investment Advisor as well as for
5
LEONTEQ SECURITIES AG
1
2
3
DASHBOARD
1 AMC Overview 3 Historical Strategy Development
• A concise overview over existing tailor-made AMCs • The graphical display of the historical strategy perfor-
with their current valuation and high-level performance mance as well as its Assets under Management
information allows Advisors to easily monitor and (AuM) provides the Advisor with an instant overview
compare their tailor-made AMCs. over the strategy’s development since inception.
• The current Assets under Management (AuM) of • An intuitive zoom function also allows focus on the
each Investment Strategy are summarized. detailed strategy development within short specific
time periods.
2 Execution Status
• For each investment strategy a summary of currently
pending Trade Advices can be retrieved which provides
the Advisor with an overview over all positions that are
currently being processed by Leonteq’s execution desk.
• Their respective current execution status instantly
informs the Advisor whether his Advices have already
been approved, successfully executed or whether
they were rejected due to incompliance with the
investment guidelines.
Source: Leonteq Securities AG, 2014
6
AMC GATEWAY
YOUR PORTAL TO ACTIVELY MANAGED CERTIFICATES
1
2
3
TRADE ADVICES
1 Capture of a new Trade Advice 2 Trade Advice Overview
• Investment Advisors can flexibly choose from different • Easily view and manage your drafted as well as
Trade Advice Entry Types depending on their personal submitted Trade Advices and their current execution
preferences. status.
• Manual Trade Advice entry is facilitated through useful • Drafted Trade Advices can be flexibly edited and deleted
tools such as Drop-Down selection and an intuitive before submission as they are not yet entering the
search function to reduce administrative efforts. approval and execution process.
• Trade Advice entry based on a previously submitted • Once being submitted, Trade Advices are automatically
Trade Advice facilitates capturing recurring Trade communicated to Leonteq and enter the swift approval
Advices. and execution process.
• The upload of Trade Advice in standardized template • Trade Advice validation timely and transparently signals
files (Excel) allows to easily capture extensive or invalid Advices and rejects them. Approved Trade
automatically generated Trade Advices. Advices are cleared for execution.
3 Portfolio Positions
• A detailed portfolio positions overview informs about
the current allocation and available investment amounts.
• Newly captured Trade Advices are instantly shown and
added in the Portfolio Positions overview to inform the
Advisor about their impact on the portfolio allocation.
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LEONTEQ SECURITIES AG Brandschenkestrasse 90 | P.O. Box 1686 | CH-8027 Zurich Phone +41 58 800 1000 | Fax +41 58 800 1010 info@leonteq.com | www.leonteq.com CONTACT For your AMC Gateway Account: am@leonteq.com | +41 58 800 1827 For technical support: servicedesk@leonteq.com | +41 58 800 1818 LEGAL DISCLAIMER This publication serves only for information purposes and is not research; it constitutes neither a recommendation for the purchase of finan- cial instruments nor an offer or an invitation for an offer. No responsibility is taken for the correctness of this information. Investors bear the full credit risk of the issuer / guarantor for products which are not issued as COSI ® products. Before investing in derivative instruments, investors are highly recommended to ask their financial advisor for advice specifically focused on the investor´s financial situation; the infor- mation contained in this document does not substitute such advice. This publication does not constitute a simplified prospectus pursuant to art. 5 CISA, or a listing prospectus pursuant to art. 652a or 1156 of the Swiss Code of Obligations. The relevant product documentation can be obtained directly at Leonteq Securities AG via telephone +41 (0)58 800 1111, fax +41 (0)58 800 1010, or via email termsheet@leonteq.com. Selling restrictions apply for the EEA, Hong Kong, Singapore, the USA, US persons, and the United Kingdom (the issuance is subject to Swiss law). The Underlying’s performance in the past does not constitute a guarantee for their future performance. The financial products‘ value is subject to market fluctuation, which can lead to a partial or total loss of the invested capital. The purchase of the financial products triggers costs and fees. Leonteq Securities AG and/or another related company may operate as market maker for the financial products, may trade as principal, and may conclude hedging transactions. Such activity may influence the market price, the price movement, or the liquidity of the financial products. Any - including only partial - reproduction of any article or picture is solely permitted based on an authorization from Leonteq Securities AG. No responsibility is assumed in case of unsolicited delivery. © Leonteq Securities AG 2014. All rights reserved.
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