GENESIS — Investment Operations

Investment Operations
Platform for Fund Managers

GENESIS provides an end-to-end investment operations platform covering trade order management, execution, settlement, and STP workflows — reducing operational risk, eliminating manual interventions, and enabling operations teams to scale without proportional headcount growth.

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STP

Straight-through processing

95%

Settlement on time (STP)

60%

Reduction in failed trades

T+0

Trade booking speed

The Problem

Why Existing Approaches Fall Short

Manual processes, fragmented tools, and legacy systems create compounding inefficiencies that limit speed, accuracy, and risk visibility.

Manual Trade Processing Creates Settlement Risk

Manual trade entry, allocation, and confirmation introduce keystroke errors and timing gaps that create failed trades, settlement fails, and counterparty risk.

Disconnected Front-to-Back Systems Create Reconciliation Overhead

OMS, execution, settlement, and accounting systems operated in silos require constant manual reconciliation — consuming operations team bandwidth and creating data integrity risks.

Compliance Checks Applied Too Late in the Workflow

Pre-trade compliance checks — mandate limits, concentration restrictions, regulatory constraints — are often checked manually after order entry, creating post-trade correction overhead.

Settlement Failures Are Expensive and Reputationally Damaging

Failed settlements with custodians, clearing members, and counterparties attract penalties, create regulatory obligations, and damage institutional relationships.

Investment Operations Without Automation

Manual trade entry from broker confirmations into books

Disconnected OMS, settlement, and accounting systems

Pre-trade compliance checked manually and inconsistently

Settlement instructions sent via email or phone calls

Failed trade resolution requiring manual intervention

Corporate action entitlements manually tracked

How It Works

GENESIS Investment Operations Platform

A fully integrated, STP-enabled investment operations workflow from order to settlement — connected across front, middle, and back office.

Module 01

Order Management System

Central OMS integrating portfolio manager instructions, model-driven orders, and manual orders — with pre-trade compliance validation before order placement.

Module 02

Execution Management

Multi-broker order routing, execution confirmation capture, and allocation processing — with automated matching against order instructions.

Module 03

Trade Confirmation & Affirmation

Automated trade confirmation matching with broker contract notes — immediate exception flagging for mismatches in price, quantity, or settlement terms.

Module 04

Settlement Processing

Automated settlement instruction generation, custodian instruction transmission, and settlement status tracking — with proactive fail management workflows.

Module 05

Position Management

Real-time position updating across all entities and custodians — with pending settlement and accrued income reflected in live positions throughout the day.

Module 06

Fund Accounting Integration

Fully integrated with GENESIS fund accounting — all settled trades automatically flow through to books without re-entry, eliminating the biggest source of operations errors.

Key Capabilities

Investment Operations Capabilities

Pre-Trade Compliance

Automated pre-trade checks against investment mandates, sector limits, concentration restrictions, and regulatory constraints before order submission.

Multi-Custodian Settlement

Settlement instruction management across multiple custodians — with custodian-specific message formats, SWIFT support, and settlement confirmation tracking.

Corporate Action Management

Automated corporate action entitlement tracking, elective decision workflow, and post-event position and cash impact processing.

Failed Trade Management

Proactive settlement fail prediction, automated buy-in/sell-out workflows, penalty tracking, and fail resolution escalation management.

Cash Management

Cash position management, projected cash flow modeling, overdraft management, and cash allocation for new investments.

FX Operations

FX trade execution for multi-currency portfolios — spot, forward, and FX swap processing with treasury integration.

Derivatives Processing

Exchange-traded and OTC derivative operations — margin management, daily MTM, premium processing, and expiry/exercise workflows.

Regulatory Reporting

Automated transaction reporting for SEBI, RBI, and other regulatory requirements — CSDL/NSDL corporate action reporting, large transaction reports.

Business Impact

Measurable Outcomes for Your Institution

Our customers report consistent improvements across turnaround time, accuracy, operational efficiency, and risk management.

95%

On-Time Settlement Rate

Automated instruction generation eliminates timing delays causing settlement fails

60%

Reduction in Failed Trades

Pre-trade compliance and confirmation matching eliminate preventable trade failures

70%

Lower Operations Cost Per Trade

STP processing reduces manual touchpoints per trade significantly

Zero

Manual Data Re-Entry

Integrated front-to-back removes all data re-entry between OMS, settlement, and books

Who It's For

Built for the Teams That Matter Most

Designed with input from practitioners across credit, risk, operations, compliance, and technology functions.

Investment Operations Teams

Manage the complete trade lifecycle on a single integrated platform — eliminating manual intervention in straight-through-processing paths.

Portfolio Managers

Submit orders through a structured OMS with real-time pre-trade compliance checks — confidence that execution stays within mandate.

Settlement & Custody Teams

Automate settlement instruction generation, custodian communication, and fail management — reducing settlement fail rates.

Middle Office Risk Teams

Monitor real-time position risk, exposure limits, and pre-trade compliance across all active portfolios.

Compliance Officers

Access pre-trade and post-trade compliance reports, exception logs, and regulatory filing support from within the platform.

CFO & Finance Teams

Accurate cash positioning, accrued income tracking, and fee computation supporting treasury and financial management.

Use Cases

Real Scenarios. Practical Results.

How financial institutions apply this solution across their business operations.

Use Case 01

Equity & Fixed Income Fund Operations

Full front-to-back operations for equity and debt mutual fund schemes — order management, execution, settlement, and automated book entry.

Mutual FundsEquityFixed IncomeSTP

Use Case 02

AIF Category III Operations

Complex derivatives, long-short equity, and structured product operations for Category III AIFs — real-time position management and margin monitoring.

AIF Category IIIDerivativesHedge Fund

Use Case 03

Corporate Treasury Investment Management

Treasury investment operations for institutional corporate treasuries — money market, short-term debt, and surplus fund management.

Corporate TreasuryMoney MarketFixed Income

Use Case 04

Insurance Company Investment Operations

Insurance fund investment operations aligned with IRDAI investment regulations — asset class restrictions, approval workflows, and regulatory reporting.

InsuranceIRDAIInvestment Operations

Use Case 05

Multi-Custodian Reconciliation

Automated daily reconciliation of positions across multiple custodians — eliminating manual spreadsheet-based custodian reconciliation.

ReconciliationMulti-CustodianOperations

Use Case 06

ETF Arbitrage Operations

High-frequency ETF creation/redemption arbitrage operations — automated basket construction, in-kind creation instruction, and settlement management.

ETFArbitrageCreation/Redemption

Explore Connected Capabilities

These solutions work alongside this one to deliver a more complete, end-to-end workflow for your institution.

FAQs

Frequently Asked Questions

How does GENESIS handle straight-through processing (STP)?

GENESIS's STP architecture connects order management, execution, confirmation, and settlement in an integrated workflow. When all data is clean and matched, trades flow automatically from order to book entry without manual intervention. Exceptions are flagged to operations teams for resolution without stopping the rest of the workflow.

What types of instruments does the operations platform support?

GENESIS supports listed equities, government securities, corporate bonds, T-bills, commercial paper, mutual fund units, exchange-traded derivatives (futures and options), OTC derivatives (IRS, FRAs, credit derivatives), forex, and alternative investments including REITs and InvITs.

How does GENESIS manage pre-trade compliance?

Pre-trade compliance is integrated into the order entry workflow. As a portfolio manager enters an order, GENESIS checks it against investment mandate limits, sector concentration rules, instrument restrictions, regulatory caps, and any other configured constraints — flagging violations before the order is submitted for execution.

Can GENESIS integrate with existing OMS or execution management systems?

Yes. GENESIS can operate as a standalone OMS or integrate with existing front-office systems via FIX protocol, API, or file-based interfaces. For firms with existing OMS investments, GENESIS can operate in middle-office-only mode, receiving trades from the existing front office and handling confirmation through settlement.

Investment OperationsPlatform for Fund Managers