Flows: For All Investment Vehicles

Flows That Are Common Across Investment Vehicles

The following flows apply to all investment vehicles:

• initial fund/offering setup

• transfers

Initial Fund/Offering Setup

A fund/offering needs to be in place on the platform before transactions can occur. Once a fund/offering is active, initial investments can proceed. By default, only investing organizations that have received and accepted assignment to the exclusivity list for a security are allowed to participate. The optional flow for adding a service provider, such as a fund administrator, is valid at any point before close.

The following table lists the necessary steps to perform the outlined tasks.

	Task	How
1	AM - Create and Launch Offering	../security-admin/create-and-launch
2	AM/FA - Add Investing Org to Fund	../exclusivity/add
3	Inv - Accept Fund Assignment	../exclusivity/accept
4	Inv - Retrieve Fund Information	../securities
	Optional Workflow
	AM - Assign Fund Administrator (optional)	../service-providers/assign
	FA - Accept/Reject FA Assignment (optional)	../service-providers/accept ../service-providers/reject

Transfers

Transfers apply when:

• A life event, such as death or divorce, results in the need to move shares to a different account.

• An advisor moves to a different firm, requiring transfer of shares for those clients who choose to follow the advisor.

The Integration API refers to shares as assets.

The following table lists the necessary steps to perform the outlined tasks.

	Task	How
1	Inv - Request Transfer (Receiving Org)	../transfer
2	AM/FA - Approve Transfer	../transfer/{transferId}/approve
3	Inv - Allocate Assets (Sending Org)	../transfer/{transferId}/allocate-assets
4	AM/FA - Complete Transfer (Sending Org)	../transfer/{transferId}/complete