Linedata Compliance

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Linedata Compliance focuses on incorporating your existing complex business requirements and workflows of compliance officers at asset managers, fund administrators and global custodians into a single compliance solution. The robust, real-time system offers comprehensive pre- and post-trade monitoring of investment restrictions including firm-wide, fund specifc mandates and regulatory constraints while meeting the most stringent audit trail requirements.

Linedata Compliance offers best in class rule coverage along with maker/checker functionality for rule management which will reqiure four eyes review before new or modified rules become effective. A compliance module offering 'as-of' compliance allows clients to store historical data and run post-trade investment compliance for any selected effective date recreating that portfolio situation at that point in time. Expanded pre-trade compliance API allows for easy integration across platforms to provide a comprehensive and consolidated view of compliance events.

To simplify breach management, the platform supports what-if inquiries, multi-level breach overrides, breach assignment and 'four eyes' review standards.

Key Features

Rule Creation and Maintenance

  • Maker/Checker (Four Eyes)
  • Flexible Rule Builder
  • Comprehensive Rule Library
  • Test Rule Facility
  • Multi-tier Rules (e.g. Disclosure Rules)
  • User-defined Formulas and Calculations

Breach Analysis

  • Real Time Pre- and Post-trade Compliance Monitoring
  • Life-cycle Monotoring of Incidents
  • As-of Compliance Capabilities
  • Historical Breach Reporting

Compliance Services

  • Disclosure Reporting
  • AIFMD Reporting
  • Mandate Review
  • Compliance as a Service
  • Third Party Integration

Key Benefits

Driving efficiencies will differentiate and better position firms to deliver value-added service to clients.

Available as an integrated solution with existing proprietary/third party front and back office system or with other Linedata solutions.

Comprehensive reporting capability displays results in clean, easy to review reports that highlight potential problem areas.

Standard rules library and intuitive rule builder templates give non-technical users the ability to create and maintain their own restrictions.