NWCA equips Independent Asset Managers' compliance teams with a two-week fixed-price FinSA / LSFin Readiness Review. NWCA does not replace your statutory audit or your compliance function - we provide the review process, the senior practitioner, and the proprietary engine to your team. After the review, the engine stays on your premises for ongoing compliance, allocation drift monitoring, and quarterly reporting.
Fixed-price review delivered in fourteen days. Five-pillar scoring covering client classification (FinSA Art. 4, 6), Investment Policy Statement (Art. 11), suitability documentation per trade (Art. 12-14), allocation drift monitoring (Art. 11), and cost transparency (Art. 8-9). Deliverables: bilingual review report of fourteen to eighteen pages, tamper-proof audit trail independently verifiable by your statutory auditor in one command, thirty-sixty-ninety day remediation roadmap, Excel tracker for the operations team. Pricing fixed and scoped to your book of clients. Quote returned within twenty-four hours of a scoping call. Engine on your machine, not your data on ours. No cloud transit. No copy retained.
Portfolio Analyser - seven-tab desktop application with risk analysis, stock classification, allocation gap analysis, SQLite audit trail, and PDF reports. MomentumFlow AI - stock scanner with AI Score one-to-ten and five transparent subscores. Portfolio X-Ray - free fund look-through at nwc-advisory.com/xray. Consolidation Engine - multi-custodian PDF parser for six major Swiss and European banks. Five production APIs: Risk, Stock Classifier, News Sentiment, LEI/OAS, Liquidity Stress.
Independent Asset Managers supervised by their supervisory authority and facing FinSA documentation requirements. Multi-family offices serving five to twenty families. Cross-border wealth firms with Middle East, Latin America, or European clients facing FATF plus FinSA documentation burden.
Founded by Tianning Ning, CIIA charterholder with twenty years of buy-side portfolio management experience, trilingual French English Mandarin, Geneva-based.
New Way Capital Advisory Limited, Geneva, Switzerland. Email info@nwc-advisory.com. Phone +41 76 381 47 48. Website https://nwc-advisory.com.
The FinSA Readiness Review equips your compliance team with the gaps between your stated investment policy and your actual client portfolios — so the next supervisory cycle is met with every gap already identified and documented. Two weeks, fixed price, delivered on your premises.
A two-week, fixed-price review that equips your compliance team with every gap between your stated investment policy and your actual client portfolios — so the next supervisory cycle is met with every gap already identified and documented. The review report lands in your hands on Day 14.
Documented classification (Retail / Professional / Institutional), risk profile, investment horizon, financial capacity, objectives, knowledge & experience. Annual review evidence.
Existence per client. Alignment with risk profile. Documented constraints (excluded sectors, currency bands, liquidity floors, concentration caps). Last review date.
Every advisory or discretionary trade has a documented suitability check linking instrument to IPS clause. Sign-off, immutable audit trail. We sample 20% of last 12 months.
Current allocation versus IPS bands. Cross-custodian consolidation across all your client's banks. Documented rebalancing decisions. Quarterly review evidence.
Annual aggregated cost statement. TER aggregated across funds with full look-through. Inducement disclosure where applicable. Cost transparency versus benchmark.
Bilingual FR/EN review report, top 10 priority findings by severity × effort, 30/60/90 day remediation roadmap, Excel tracker, and a tamper-proof audit trail — every step digitally signed, independently verifiable by your statutory auditor in one command.
Pricing is fixed and scoped to your book of clients. Each engagement includes: a 14-18 page bilingual review report, a 30 / 60 / 90 day remediation roadmap, an Excel tracker for your operations team, and a tamper-proof audit trail — every step digitally signed, independently verifiable by your statutory auditor in one command.
NWCA does not replace your statutory audit or your compliance function — we provide the review process, the senior practitioner, and the proprietary engine to your team.
Book a 30-minute scoping call. You receive a fixed-price quote within 24 hours.
Engine on your machine, not your data on ours. NDA and Data Processing Agreement signed before kickoff. No cloud transit. No copy retained. CIIA professional secrecy applies. Data destroyed 30 days after delivery unless a follow-on engagement is signed.
The review is how clients adopt the platform. The platform is what stays. Five integrated components, five production APIs, all running on your premises after the engagement.
7-tab desktop application. Upload custodian PDFs, run look-through, score risk, classify holdings, detect allocation drift, persist the audit trail, generate the client-ready PDF.
Stock scanner with AI Score 1–10, five transparent sub-scores per name, Kafka streaming, team and admin modules. Used standalone or as the stock-analysis layer in a portfolio review.
Fund look-through engine. Enter ISINs, get asset allocation, geographic exposure, GICS sectors, stock overlap, weighted TER, top 30 underlying holdings. Free, no login required.
Multi-custodian PDF parser. Supports Vontobel, Rothschild, UBS, Credit Suisse, Julius Baer, Lombard Odier. Generates a 19-section bilingual report. Powers Pillar 4.
Risk API · Stock Classifier · News Sentiment · LEI/OAS · Liquidity Stress Testing. All called by the desktop app during a review. All independently accessible. All running with Prometheus metrics and full audit logging.
The review and the platform are designed around the operational reality of three distinct wealth-management archetypes.
30–150 client portfolios. CHF 50M – 5B AUM. Supervised by their supervisory authority. FinSA documentation burden growing every year. Internal compliance team feels the pain daily.
5–20 families served. CHF 50M – 1B+ per family. Constraints unique per family — exclusions, currency bands, liquidity floors, generational mandates. The binder adapts per family.
Geneva HQ, international clientele (Middle East, Latam, EU). Doubled compliance burden: FATF + FinSA + sanctions + source-of-funds. On-premises processing is non-negotiable.
Each finding in the review report — every documentation gap, every IPS breach, every drift signal — points back to the raw data that produced it. The intelligence layer that surfaces these gaps runs continuously below. Every calculation produces a signed receipt: raw inputs, formula, output, hash. Your statutory auditor can verify every line independently.
7-signal market risk model. 19-year backtest, Sharpe 0.92. Detected elevated scores before all 6 major crashes 2007–2025.
Multi-factor classifier. 6 transparent weighted subscores per ticker. Regime-aware. Used in Pillar 3 to score per-trade suitability for individual-stock holdings.
VADER-based real-time financial news scoring per ticker. Cited in review findings where holdings have material recent news that may affect suitability.
6-signal percentile-rank liquidity stress model. Backtested against 12 documented gating events (2008–2023). ESMA AIFMD II ready. Used in review findings to flag liquidity risk per portfolio.
A 30-minute scoping call to identify the right review scope for your firm. Free, no commitment. We confirm whether the engagement is a fit before any MSA.
Founded by Tianning Ning — CIIA charterholder, twenty years buy-side portfolio management, trilingual FR / EN / Mandarin, Geneva-based.
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