Investment Compliance Solutions

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Overview

We provide out-of-the box coverage of regulatory rules, industry sector rules and prospectus / mandate rules. Regulatory rule sets include UCITS rules as well as US 1940 Act, Canadian Mutual fund rules, Hong Kong, Singapore, Swiss rules and many other rules based on fund domicile.

Our comprehensive Investment Compliance Monitoring Software enables you to meet your post-trade compliance needs in accordance with the different regulatory requirements.

Our monitoring solution is being used by leading global asset managers, banks, management companies, fund administrators and custodians to automate their regulatory compliance through industry-leading cloud technology.

Key Features

We provide out-of-the box coverage of regulatory rules, industry sector rules and prospectus / mandate rules.

  • In-built rules engine containing 2,000+ investment rules maintained and fully up to date
  • Ability to create customised rules to meet your monitoring requirements
  • Ability to create customised rules to meet your monitoring requirements
  • Comprehensive liquidity, leverage and counterparty risk monitoring functionality
  • Available as Technology-only or as a Managed Service
  • Email alerts and notifications of breaches
  • Interactive Dashboard Reporting
  • Full history and audit trail
  • Data quality built-in

Key Benefits

  • Increased efficiency and accuracy of processes and results
  • Automated production of Management Information across your business
  • Full compliance with regulatory change
  • Obtain instant analysis of compliance and risk across your portfolios
  • Identify and resolve issues before they become breaches
  • Tracking and notification of issues and resolution path

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