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FIS Asset Management from FIS Global
An integrated order management and portfolio management solution that helps investment managers handle trading activities for a wide range of asset classes.
Product analysis by function
Order Management Systems (OMS) for Portfolio Management
Software that facilitates the execution of investment decisions through trade order generation, routing, and execution. These systems manage the entire trade lifecycle, compliance checks, allocation of trades across portfolios, and integration with execution venues.
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Core Order Management
(11 Yes /11 Known /13 Possible features)
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Multi-Asset Support Ability to handle various asset classes such as equities, fixed income, derivatives, currencies, etc. |
Marketing materials and product documentation for FIS Asset Management indicate support for multiple asset classes including equities, fixed income, derivatives, and currencies. | |
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Order Entry Manual or automated entry of trade instructions for buy, sell, and other operations. |
Core OMS functionality is stated, including manual and automated order entry. | |
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Order Validation Pre-trade checks ensuring orders comply with market and regulatory rules. |
Product details mention pre-trade checks and automated compliance rules for order validation. | |
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Order Routing Capability to direct orders to appropriate venues, brokers, or execution algorithms. |
Order routing to venues, brokers, and use of execution algorithms is detailed in FIS literature. | |
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Order Matching Ability to auto-match portfolio manager orders with available liquidity. |
Order matching mentioned as part of the ability to interact with multiple liquidity venues and internal crossing. | |
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Bulk Order Processing Ease of handling and executing large volumes of orders in batch. |
Bulk order processing is listed for high-volume environments in FIS documentation. | |
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Order Amending & Cancelling Support for modifying or cancelling open or partially filled orders. |
Amendments & cancellations are supported for open and partial orders. | |
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Trade Allocation Functionality for splitting trades across multiple accounts or portfolios. |
Trade allocation tools are standard, referenced in product features. | |
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Order Lifecycle Tracking Comprehensive tracking of orders from creation to completion. |
Lifecycle tracking is described as present from order entry through completion and settlement. | |
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Order Audit Trail Detailed log of all actions taken on orders for compliance and tracing. |
Order audit trail and compliance logs are mentioned for regulatory needs. | |
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Order Processing Speed Average time taken to process, validate, and route orders. |
No information available | |
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Max Order Capacity Maximum number of orders the system can process concurrently. |
No information available | |
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Support for Basket Orders Ability to handle multiple orders as a single grouped basket transaction. |
Basket order handling is mentioned, including grouping of multiple orders for efficient execution. |
Integration & Connectivity
(9 Yes /9 Known /10 Possible features)
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FIX Protocol Support Ability to communicate with external parties using the Financial Information eXchange (FIX) protocol. |
FIX protocol support is a core feature for market connectivity as stated on the product site. | |
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API Access Well-documented APIs for integrating with third-party platforms and data providers. |
API access is mentioned for integration with other systems and custom workflow support. | |
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Market Data Integration Ability to receive and process live prices and instrument data. |
Market data integration (live prices, reference data) is included. | |
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Position Data Import/Export Importing/exporting positions to/from accounting, risk, or other systems. |
Position data import/export with downstream risk/accounting is supported, per integration options. | |
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Settlement System Connectivity Integration with post-trade and settlement providers. |
Connects with settlement and post-trade providers, covering full order-to-settlement workflow. | |
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Portfolio Management System (PMS) Integration Seamless exchange of data with portfolio accounting and risk systems. |
Integrates with PMS and back-office systems for risk and accounting. | |
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Number of Supported Venues/Brokers Count of external venues or brokers to which the OMS can connect. |
No information available | |
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OMS to EMS Integration Ability to integrate with Execution Management Systems for advanced trading functionality. |
OMS-EMS integration for advanced execution is cited as available. | |
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Real-time Data Feeds Capability to consume and process real-time feeds (prices, news, etc.). |
Real-time data feeds for prices/news/events are supported. | |
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File-Based Interface Support Supports batch file uploads and downloads (CSV, XML, etc.) to exchange data. |
Supports file-based interface for batch uploads/downloads (CSV/XML). |
Compliance & Risk Controls
(8 Yes /8 Known /10 Possible features)
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Pre-Trade Compliance Checks Automated validation of orders against rules such as client mandates, position limits, or regulatory requirements. |
Pre-trade compliance checks are emphasized as an OMS control. | |
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Post-Trade Compliance Monitoring Ability to monitor executed trades for regulatory and internal policy breaches. |
Post-trade compliance surveillance is named as part of regulatory controls. | |
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Real-Time Risk Monitoring Ongoing updates and alerts about exposures or limit breaches as orders are entered. |
Real-time risk monitoring is marketed with risk exposure and breach alerts. | |
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Custom Rule Engine Configurable logic for enforcing custom compliance and risk rules. |
Custom rule engine available for compliance and pre-trade checks. | |
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Restricted List Management Maintain and enforce trading restrictions on selected securities or issuers. |
Restricted list management is included for compliance needs. | |
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Trade Approval Workflows Multi-level authorization for orders based on size, asset class, or other criteria. |
Trade approval workflows and multi-level signoffs are configurable. | |
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Trade Error/Exception Handling Detection and flagging of potential rule breaches and workflow exceptions. |
Error and exception handling referenced for operational workflow. | |
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Audit and Logging Detailed activity logs and audit trails for compliance inspection. |
Audit and logging are named for compliance audits and investigations. | |
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Number of Compliance Rules Supported Total unique compliance rules the system can enforce concurrently. |
No information available | |
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Compliance Rule Execution Speed Average time to process compliance checks per order. |
No information available |
User Experience & Workflow
(8 Yes /8 Known /10 Possible features)
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Intuitive User Interface (UI) Modern, clear, and easily navigable front-end for users. |
UI described as modern and user-friendly. | |
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Customizable Dashboards Ability for users to personalize their view and widgets. |
Customizable dashboards and user views supported. | |
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Role-Based Access Control User permissions and interface tailored to user roles (trader, portfolio manager, compliance, etc.). |
Role-based access control supported for different user profiles. | |
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Workflow Automation Tools to automate repetitive processes or order flows. |
Workflow automation tools and templates supported. | |
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Alerts & Notifications Real-time notifications via on-screen, email, or SMS. |
Alerts and notifications via UI/email/SMS included. | |
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Mobile Access Availability of mobile or web-based applications for remote access. |
Mobile and web access is specified as available. | |
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Bulk Editing Ability to modify multiple items in a single operation. |
Bulk editing of orders and portfolios mentioned in documentation. | |
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User Training Modules In-system guided learning and help resources. |
In-application training/help modules referenced. | |
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Maximum UI Customization Options Number of user-configurable interface elements. |
No information available | |
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Concurrent Users Supported Number of users that can interact with the system simultaneously. |
No information available |
Reporting & Analytics
(8 Yes /8 Known /10 Possible features)
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Custom Report Builder Users can create ad hoc or custom reports using available data. |
Custom report builder listed in product analytics and reporting. | |
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Pre-Built Standard Reports Access to common industry and regulatory reports (trade blotter, regulatory filings, etc.). |
Standard regulatory and operational reports pre-built. | |
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Scheduled Reporting Automatic generation and delivery of regular reports. |
Automatic scheduled reporting available (daily, monthly, etc.). | |
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Export Formats Variety of export options such as PDF, Excel, CSV. |
Multi-format export (Excel, CSV, PDF) is documented. | |
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Performance Analytics Tools for measuring trade performance and attribution. |
Performance analytics included for trade performance and transaction cost analysis. | |
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Compliance Reporting Dedicated reporting for regulatory and policy adherence. |
Compliance reporting highlighted as a part of standard reporting set. | |
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Real-time Analytics On-demand analysis and visualization of trading data. |
Real-time dashboards and analytics enabled for clients. | |
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Data Visualization Tools Support for charts, graphs, and visual reporting. |
Visual reporting tools, including graphs/charts, are available. | |
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Number of Report Types Distinct predefined or customizable report types. |
No information available | |
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Historical Data Retention Period Amount of time trading data is stored and available for reporting. |
No information available |
Security & Access
(9 Yes /9 Known /10 Possible features)
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Multi-Factor Authentication User access requires multiple verification methods. |
Multi-factor authentication is described in security controls. | |
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Single Sign-On (SSO) Federated login using the institution's identity provider. |
Single Sign-On (SSO) integration is mentioned for enterprise clients. | |
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Data Encryption (in transit & at rest) Protection of sensitive data during transmission and storage. |
Data encryption at rest and in transit is referenced in the security policy. | |
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Granular User Permissions Highly specific access control for various system functionalities. |
Granular, role-based user permissions and user group management mentioned. | |
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Regular Security Audits Ongoing third-party or internal security assessment processes. |
Vendor describes recurrent third-party and internal security audits. | |
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Intrusion Detection Systems or logs for monitoring unauthorized access attempts. |
Intrusion detection/logging included as part of security architecture. | |
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Audit Logging Comprehensive logging of system actions for traceability. |
System activity audit logs maintained for compliance and investigation. | |
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User Activity Monitoring Tools for real-time monitoring of user behavior and anomalies. |
Real-time user monitoring and behavior anomaly detection noted as security features. | |
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Session Timeout Automatic logout after a configurable period of inactivity. |
Session timeout is enabled for inactive user sessions. | |
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Number of Authentication Methods Supported Count of distinct supported authentication mechanisms (e.g., password, biometric, token). |
No information available |
Data Management & Quality
(9 Yes /9 Known /10 Possible features)
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Reference Data Integration Ability to pull in security, issuer, and instrument static data. |
Reference data integration including issuer/security static data is a core feature. | |
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Real-time Data Validation On-the-fly checks to ensure completeness and accuracy of incoming data. |
Real-time, on-the-fly data validation is described in documentation. | |
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Data Reconciliation Tools Automated matching of trade and position data across sources. |
Automated reconciliation tools are referenced for data and trade matching. | |
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Bulk Data Operations Efficient import, update, and export of large data sets. |
Bulk data import, export, and update routines are included. | |
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Data Lineage Tracking Visibility into data origins and transformation history. |
Data lineage tracking provided for audit and transparency needs. | |
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Error Handling and Notifications Automated detection and alerting of data issues. |
Error handling and automated notification on data issues is described. | |
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Stale Data Alerting Alerts when reference or market data is out-of-date. |
Stale data alerting is included as part of data quality management. | |
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Duplicates Detection Identifying and managing duplicate trade or position entries. |
Duplicate detection for trade and position data referenced. | |
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Archiving Policies Configurable controls over data storage and archiving. |
Archiving and retention policies are configurable within system controls. | |
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Maximum Data Retention Period Length of time that data is stored and available within the system. |
No information available |
Workflow & Automation
(9 Yes /9 Known /10 Possible features)
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Straight Through Processing (STP) Automates trade workflows from entry to settlement with minimal human intervention. |
STP workflow from trade entry to settlement is a selling point. | |
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Robust Workflow Engine Customizable workflow rules for different business processes. |
Customizable workflow engine for business process design is included. | |
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Exception Management Systematic handling of trade breaks, errors, and manual interventions. |
Exception management for trade breaks and workflow errors described. | |
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Automated Trade Allocation System-driven assignment of trades to accounts or portfolios. |
Automated trade allocation is supported, per product feature descriptions. | |
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Task Assignment & Tracking Assign and monitor status of workflow tasks and approvals. |
Task assignment and approval tracking modules available. | |
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Work Queue Management Prioritize and delegate tasks within the order workflow. |
Work queue management available for workflow prioritization. | |
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Business Rule Automation Ability to define custom business logic for automation. |
Custom business rule automation is part of OMS setup. | |
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Approval Workflow Customization Customizable multi-level sign-offs for various order types and scenarios. |
Approval flow designs are customizable for each client. | |
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Automated Reconciliation Auto-matching of trades and settlement data without manual effort. |
Automated reconciliation is documented as part of the workflow automation features. | |
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Max Rule/Workflow Complexity Supported Maximum supported layers/steps in automated workflows. |
No information available |
Performance & Reliability
(5 Yes /5 Known /10 Possible features)
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High Availability Architecture Redundant design for system uptime even during outages. |
FIS describes high-availability and failover as system features. | |
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Disaster Recovery Provision for rapid recovery after catastrophic events. |
Disaster recovery and business continuity processes are standard for FIS. | |
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System Uptime Guarantee Guaranteed minimum level of system availability. |
No information available | |
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Latency Average end-to-end response time for core operations. |
No information available | |
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Throughput Maximum number of orders or trades processed per unit time. |
No information available | |
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Concurrent User Support Number of simultaneous active users without performance degradation. |
No information available | |
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Real-time Monitoring Tools Active tools for live system performance tracking. |
Real-time monitoring tools for health and performance are described. | |
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Load Balancing Distribution of processes to optimize capacity and prevent bottlenecks. |
Load balancing for operational continuity and scale supported. | |
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Scheduled Maintenance Windows Defined periods for system upgrades and maintenance. |
Scheduled maintenance windows are communicated to all clients. | |
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Time to Recovery (RTO) Maximum allowable downtime after an incident. |
No information available |
Scalability & Flexibility
(8 Yes /8 Known /10 Possible features)
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Horizontal Scalability Add resources easily as demand grows, e.g., more servers. |
Horizontal scalability through cloud and distributed resources stated. | |
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Vertical Scalability Scale up by increasing system resources, e.g., CPU, memory. |
High capacity and multi-core/memory scaling supported per system architecture notes. | |
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Custom Workflow Scripting Adapt workflows using custom scripts or logic. |
Custom workflow scripting is available for client-specific needs. | |
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Modular System Design System can be extended or modified by adding modules/plugins. |
Product is modular and extendable with plugins or new modules. | |
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Number of Configurable Parameters Distinct elements that can be user-configured to fit requirements. |
No information available | |
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Cloud Deployment Option Supports deployment on public/private cloud infrastructures. |
Supports both cloud and on-premise deployment models. | |
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On-Premise Deployment Option Available as an installable solution on client infrastructure. |
On-premise installation is available for institutions requiring local hosting. | |
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Multi-Entity Support Handle multiple legal entities or fund structures within one system. |
Multi-entity/fund management stated as a key OMS use case. | |
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Concurrent Portfolio Capacity Maximum number of portfolios that can be managed simultaneously. |
No information available | |
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Client-specific Customization Degree to which unique workflow or integration needs can be accommodated. |
Client-specific workflow and integration customization is a highlighted feature. |
Client Service & Support
(8 Yes /8 Known /10 Possible features)
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24/7 Support Availability Round-the-clock technical assistance for clients. |
24/7 global technical support available. | |
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Dedicated Account Manager Assigned service manager for ongoing client relationship. |
Dedicated account manager program listed in FIS client services. | |
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In-Product Help & Knowledge Base Accessible documentation, FAQs, and help resources within the product. |
In-product help, guides, and searchable knowledge base included. | |
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Implementation Assistance Onboarding and system setup assistance from the vendor. |
Implementation services described as part of the onboarding process. | |
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User Training Programs Formal training offerings and user education. |
Formal user training programs and e-learning available. | |
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Issue Response Time (SLA) Average time to initial response for support tickets, as guaranteed by SLA. |
No information available | |
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Yearly System Updates Frequency of major product upgrades and enhancements. |
No information available | |
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Client Community/Forum Access Ability to interact with other clients and share feedback. |
Client community forum and engagement channel referenced on the vendor website. | |
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Change Management Support Assistance with adapting workflows and features to regulatory or business changes. |
Change management and regulatory adaptation support is provided, as stated on the site. | |
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Comprehensive Service Level Agreement (SLA) A clearly defined agreement covering uptime, support levels, and issue response. |
Comprehensive SLA structure described covering uptime, support response, and escalation. |
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