Security Acceptance Workflow: Investment Firm

When a new security is issued and the designated user at the fund accepts that security, we will attempt to match the security to established portfolios in Carta. If a match is found, the user will continue through the existing acceptance flow. If no match is found, there will be three possible scenarios:

1. Contact issuer

For situations where there might be a misspelling or missing information from the fund name, the acceptor can contact the issuer to request changes. The issuing company administrator will receive the message to make the appropriate updates and reissue for acceptance. 

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2. Create a new stand alone portfolio

For new portfolios, the acceptor can create a new standalone portfolio. The portfolio will show up separately in the Accounts dropdown menu. 

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3. Create portfolio under an existing firm

For new portfolios that belong under an existing firm account, the acceptor can create a portfolio that will filter as a fund entity under the main investment firm portfolio. This setup is typical for firms with multiple funds.

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