Investment Firms
Diligence, conduct and controls for asset and wealth managers
Asset managers, wealth managers, private-market funds, broker-dealers and advisers face investor due-diligence, sanctions, market-conduct and governance obligations across a chain of investors, intermediaries and portfolio counterparties. OnyxOne gives investor-onboarding, compliance and risk teams one operating system to diligence investors, screen counterparties, monitor relationships and evidence conduct — with every decision captured in a single audit trail.
How OnyxOne fits your operation
Your compliance, risk, audit and legal teams work in OnyxOne, which centralises risk, controls, policy, obligations, cases and evidence, and connects to the systems, screening and data providers your deployment requires.
The pressures this sector carries
The compliance and regulatory realities that shape how firms in this sector operate. Described generically — your obligations depend on your jurisdiction, licence and activities.
How accountability is structured in a regulated financial institution — the model the platform is built to support.
Investor due diligence is foundational
Firms are generally expected to identify and verify investors, understand source of wealth and funds for higher-risk cases, and screen against sanctions and PEP lists. Private-market and higher-value relationships attract enhanced diligence. The platform supports this shape; your obligations depend on your permissions and strategies.
Market conduct and integrity expectations
Investment firms face market-abuse, conflicts-of-interest and suitability expectations that require documented policies, controls and surveillance-supporting evidence. A controls-and-evidence backbone underpins demonstrating these.
Sanctions screening spans the chain
Investors, underlying beneficial owners, intermediaries and portfolio counterparties all fall within screening scope, at onboarding and continuously, with defensible match handling expected.
Governance and oversight are scrutinised
Fund and firm governance, senior-manager accountability and oversight of delegated activities are supervisory focuses. Being able to evidence oversight and escalation matters as much as having it.
What makes this hard today
The operational realities compliance and risk teams in this sector wrestle with.
Complex investor structures
Funds, trusts, nominees and layered vehicles make identifying ultimate beneficial owners and source of wealth genuinely hard, and manual diligence struggles to keep it current.
Onboarding friction for large tickets
High-value and institutional investors expect a smooth onboarding experience, but that has to coexist with rigorous, evidenced diligence.
Screening across investors and counterparties
Screening needs to reach investors, their owners, intermediaries and portfolio counterparties — rarely handled in one place.
Conduct and conflicts evidence scattered
Suitability, conflicts and market-conduct decisions live in emails and documents, making surveillance and demonstration difficult.
Oversight of delegated activities
Administrators, distributors and other delegates carry risk back to the firm, but their oversight is often informal.
How OnyxOne serves the sector
Structured investor diligence and EDD
Investors follow a defined onboarding workflow that captures identity, beneficial ownership and, for higher-risk cases, source of wealth and funds — with enhanced diligence and approvals recorded.
Screening across the whole chain
Investors, beneficial owners, intermediaries and portfolio counterparties are screened at onboarding and continuously, with every match captured against the record.
Conduct and conflicts on the record
Suitability, conflicts and market-conduct decisions are captured against policy and controls, so the evidence exists for surveillance and supervisory review.
Oversight of delegates as third parties
Administrators, distributors and other delegates are onboarded, assessed and monitored as third parties, so delegated-activity risk is understood and tracked.
Governance you can demonstrate
Roles, approvals, oversight and escalation are explicit and recorded, so senior-manager accountability and oversight are demonstrable.
The end-to-end workflow
A defined, sector-specific process with clear ownership at every stage.
Every result, decision and override is captured against the record it belongs to.
Onboard investors
Investors and their structures are captured, verified and screened against sanctions, PEP and adverse-media sources at subscription.
Diligence & risk-rate
Beneficial ownership and, for higher-risk cases, source of wealth and funds are captured, with risk scored against your methodology and EDD applied where needed.
Screen the chain
Intermediaries and portfolio counterparties are screened and monitored alongside investors, continuously.
Capture conduct decisions
Suitability, conflicts and market-conduct considerations are recorded against controls as decisions are made.
Oversee delegates
Administrators and distributors are assessed and monitored as third parties, with oversight and escalation recorded.
Report & preserve
Suspicious-activity content, conduct evidence and management information are assembled and preserved in an immutable audit trail.
How teams in this sector use OnyxOne
Onboarding institutional investors
Run rigorous, evidenced diligence on complex investor structures while keeping the experience smooth for large tickets.
Source-of-wealth for higher-risk cases
Capture and evidence source of wealth and funds in a defined EDD workflow with documented approvals.
Conflicts and suitability evidence
Record conflicts and suitability decisions against controls so surveillance and supervisory demonstration are straightforward.
Oversight of administrators and distributors
Assess and monitor delegates as third parties so delegated-activity risk flows into your programme.
Modules that matter most here
The parts of the OnyxOne platform this sector leans on most. Turn on what you need and add more as your programme scales.
Works with your existing systems
Described as capabilities — OnyxOne connects to the systems your deployment requires, configured per implementation.
- Ingests investor and subscription data from your existing transfer-agency and fund-administration systems
- Connects to the sanctions, PEP and adverse-media providers contracted for your deployment
- Integrates with your existing identity-verification and beneficial-ownership data services
- Exports suspicious-activity and return content in the formats your submission channels require
- Routes alerts, approvals and oversight tasks through your existing email and messaging tools
Security & reporting
Security & data handling
- Investor and case data are encrypted in transit and at rest.
- Role-based access and segregation of duties govern onboarding, compliance and investment functions.
- Every screening result, diligence decision and conduct record is written to an append-only audit trail.
- Sensitive source-of-wealth and suspicion-related data are restricted to authorised roles under need-to-know.
- Data residency and retention are configurable to your jurisdiction and record-keeping obligations.
Reports & returns
- Suspicious-activity / suspicious-transaction report content (SAR/STR)
- Investor screening-coverage and disposition reports
- Investor risk-rating and source-of-wealth evidence reports
- Conflicts, suitability and market-conduct evidence reports
- Delegate and third-party oversight reports
- Executive and board management information
What your team gains
Diligence that scales with complexity
Structured EDD keeps pace with layered investor structures without losing rigour.
Screening across the whole chain
Investors, owners, intermediaries and counterparties are screened in one place, continuously.
Conduct evidence ready for review
Conflicts and suitability decisions are captured against controls as they are made.
Demonstrable oversight
Delegated-activity and governance oversight are explicit and recorded, not informal.
Questions, answered
Is OnyxOne an investment firm or a regulated adviser?
No. OnyxOne is a technology vendor providing compliance and risk software. It is not an investment firm, adviser or regulated entity, and is not an obliged entity. Your firm remains responsible for its obligations.
Can it handle complex investor structures?
Yes. The onboarding and enhanced-due-diligence workflows capture beneficial ownership, control and, for higher-risk cases, source of wealth and funds, with documented approvals — configured to your policy.
Does it support conflicts and suitability evidence?
Conflicts, suitability and market-conduct decisions can be recorded against your policy and controls as they are made, so the evidence exists for surveillance and supervisory review.
How does it help oversee administrators and distributors?
Delegates can be onboarded, risk-assessed and monitored as third parties, so the risk from delegated activities is understood, tracked and evidenced.
Do you provide the screening data?
Screening and data providers are contracted and configured per deployment rather than fixed to a single named partner; OnyxOne applies your chosen sources through configurable match logic.
See OnyxOne for Investment Firms
Book a walkthrough and we'll show how the platform fits your sector's obligations, workflows and systems — then scope an implementation.