Exclusively for selected FIMs

August 2016

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Investment Navigator for FIMs

Quick guide to get started

Access and Registration

You can open the Investment Navigator for FIMs directly via this link:

www.investmentnavigator.com

Initial user in an organization

(power-user with administrator rights)

Invited users

(invited through power-user)

Click on the “register” button and select

“Investment Navigator for FIMs”. You will be

asked for an Invitation Code which is issued by

Investment Navigator and provided by UBS

Global FIM. Please complete the registration by

following the instructions on the screen.

Click on the link in the invitation e-mail. You will

be directed to our webpage to define your login

credentials.

For recurring visits, simply login with your credentials.

Our public platform is accessible without login by clicking on “Enter as guest”. However, on the public

platform you will not benefit from the extended functionalities offered by the “Investment Navigator

for FIMs”.

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Set, store and manage Suitability Profiles

In order to enforce the client profile specific suitability check in the Investment Navigator it is necessary

to define generic suitability profiles which mirror your client situations. You can define and store one

or several profiles that can be reused. If you need a profile only for a one-off use, you have the

possibility to set an AdHoc profile.

Click on the Suitability icon to either set an AdHoc profile which is valid for the current session, or to

retrieve a previously saved profile.

To save a profile, click either on “Manage profiles” or in the top

navigation bar through “My Navigator” on “My suitability profiles”.

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The section “Advisor profile”(1) shown in the figure below refers to the status of your organisation.

These settings are defined at the initial registration through the power-user / administrator and

inherited to all invited users of an organisation. Nevertheless, adjustments to this “Advisor profile” can

be made individually if necessary.

The “Client suitability profiles” (2) section features all options to manage your stored profiles. You can

create new profiles, modify existing ones or delete them.

The power-user/administrator of an organisations’ access has an additional option under “My

Navigator” to invite further users of the organisation, to provide administrator rights and to manage

the Investment Navigator for FIMs annual licence renewal.

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Find funds faster

If you are looking for a specific share class, it is best to enter the name (or part of

it), the ISIN or the security number (Valor).

The fund universe can be selectively restricted using the selection fields, e.g. according to investment

class, currency or provider. The options on the left side allow the search to be specifically restricted to:

� Share classes that are available to the generic client profile defined without restrictions

� ETFs (exchange-traded funds)

1 Client profile

2 Search with identifier, name or keywords

3 Search criteria

4 Search results

5. Suitability results

6. Add to comparison list

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Search results

Search results are automatically adjusted to the criteria selected. The suitability result can be found

in the last column.

The search result displays following information:

� Fund name, ISIN, Valor, Currency

� Category

� Distribution

� Performance over YTD, 1 Year and 3 Year

Reference currency:

Performance and risk indicators are generally displayed in the original currency of the fund. You may

select another currency in order to take into consideration currency effects.

Add a share class to the comparison list

You can add share classes to the fund comparison list with a click of the suitcase button. You can also

do this by clicking on same symbol in the full quote view.

Suitability results

Investment Navigator knows four different suitability results:

The share class meets the appropriate

requirements for the selected client

profile.

Please pay attention to the full suitability

reasoning. While the use is not prohibited,

the share class might have unfavourable

consequences for the investor (e.g.

missing tax transparency)

The share class cannot be used for the

selected client profile as it is not

compliant with the suitability rules.

No rule is available. Either the entered

client profile is not valid or the advisory

activity is not allowed.

By clicking on the suitability result, a detailed reasoning unfolds.

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Compare conveniently

You can open the fund comparison by clicking on the suitcase button

after adding a share class to the comparison list. Up to ten share classes

can be compared at once. Share classes can be removed by clicking the

wastebasket button.

Tabular comparison

The selected share classes are compared in table form. To open the full quote of the fund, click on the

name of the share class. Clicking the wastebasket button removes the share class from the comparison.

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Screen for compliance

The Investment Navigator Screener is a unique and proprietary functionality of our

service. It allows you to create and upload lists to conduct suitability checks for several

funds at once and to monitor suitability status changes.

1 List management: create, access and inactivate lists

2 Import funds from Excel

3 Switch between different functions and views of the Investment Navigator Screener

Import lists from Excel

Lists can be made either manually through the search functionality or by importing from Excel. In the

Excel file, the column A must include the ISIN. Lists can be managed in the shareclasses tab.

Comparison

The comparison tab allows to check the cross-border and product suitability for a list of funds for

multiple client profiles at once.

Notifications

The notifications tab draws attention in case of changes in the product suitability. An extension to

other fund changes (e.g. corporate actions).

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Frequently Asked Questions

Troubleshooting

What can I do when something is not working properly in the tool?

An immediate way for troubleshooting is to delete the cache (browsing data / history) of your internet

browser. If the problem still occurs, please send a message (ideally with a screenshot) to

fim@investmentnavigator.com

Liability

Is Investment Navigator AG liable for inaccurate information shown on the platform?

The purpose of Investment Navigator for FIMs is primarily to provide information. Investment

Navigator AG takes all reasonable care to ensure that the information is correct at time of publication.

Investment Navigator AG does not promise or guarantee (including liability towards third parties) the

information's accuracy, timeliness, reliability or completeness, either explicitly or implicitly.

Security

How do you protect Client Identifying Data?

Investment Navigator will never ask you to disclose Client Identifying Data (CID). In the screener

section, please avoid labelling portfolios with identifying information.

How do you protect my personal information?

Investment Navigator AG collects personal information (user profiles) to provide you appropriate fund

information and documents. Investment Navigator AG takes reasonable precautions to ensure the

security of your personal information. We take particular steps to prevent unauthorized access to, or

the disclosure or modification of, your personal data. The measures taken by us to protect your

personal data include the establishment of firewalls in accordance with industry standards, and

password-protected systems. Investment Navigator will never ask you to disclose sensitive personal

information like passwords or bank account details in unsolicited e-mails, telephone calls or instant

messages.

Support

Who can help me when I do not understand a suitability result?

The Investment Navigator team is happy to explain any suitability results. Please contact us (ideally

with a screenshot) by sending an e-mail to fim@investmentnavigator.com

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Crossborder manuals

Can I receive the implemented crossborder manuals in writing?

Subscribers of Investment Navigator for FIMs can obtain the crossborder manuals on request in a non-

editable format. Please send an e-mail to fim@investmentnavigator.com

Help and Support

If you have any questions, please send an e-mail to fim@investmentnavigator.com

or contact us directly:

Alberto Rama, Partner & CEO; T +41 44 286 90 00

Tobias Houdek, Senior Product & Marketing Manager; T +41 44 286 90 00

Dennis C. Nordemann, Business Development Manager; T +41 44 286 90 00

Follow us

Investment Navigator on LinkedIn

We wish you a pleasant advisory experience with

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The content of this manual does not constitute a solicitation, offer of products or binding warranty for any

particular properties of Investment Navigator for FIMs. The service scope of Investment Navigator for FIMs may

be amended, restricted or expanded at any time and without prior notice. Investment Navigator AG is entitled

to refuse the conclusion of a contract without having to give a reason. Investment Navigator AG / its respective

partners have exclusive rights over the content of this manual and the trademarks it contains. No part of this

manual may be reproduced, copied in any other way or published for commercial purposes without written

consent of Investment Navigator AG.