Compliance

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Overview

Black Mountain's Compliance solution integrates real-time exposure and market data to deliver compliance at all stages of trade life cycle, including hypothetical testing, pre-trade, trade allocation, post-trade and ongoing portfolio monitoring.

Key Features

  • Reports real-time capacities across each fund for every asset and rule, pre- and post- trading
  • Validates real-time compliance results instantaneously across all funds and provides automatic breach notifications
  • Provides hypothetical trade capability, historical compliance analysis, model portfolios, and side-by-side comparison of scenarios
  • Offers extensive test library including all industry standard tests for CLO, CLO 2.0, 40 Act, and Muni fund types
  • Utilizes rules engine that can handle any rule type, regardless of complexity
  • Offers restriction capabilities for trades, issuers, assets, and counterparties
  • Provides fully audited results with compliance breach and cure management workflows
  • Offers automated and customizable summary and detail reports and dashboards
  • Schedules compliance trend reporting
  • Offers web and mobile capabilities
  • Allows users to stand up their own funds and make test revisions/additions independently

Key Benefits

Black Mountain's Compliance solution enables users to manage all aspects of compliance, including trading, fund and regulatory compliance.

Compliance Management

  • Configurable fund compliance rules such as collateral quality and coverage tests
  • Configurable trade compliance rules such as best execution and inter-portfolio trading limitations
  • Restricted list management and enforcement
  • Available for any fund type including CLO and CLO 2.0, 40 Act, SMAs, and Muni Funds

Transparency

  • View all compliance results across all funds in real-time
  • See audit trail for all changes made to data/rules and by whom
  • Receive automated alerts when key metrics change
  • View compliance results at any stage of the trade life cycle and end-of-day

Reporting Capabilities

  • Monitor trading capacities for all tradable investments based on all compliance rules
  • Utilize hypothetical trades, baskets, and scenario analysis
  • View real-time and historical compliance results
  • Generate automated reports based on configured rules

Product/Service details

User Suitability (Capital Markets & Investment)
Asset Managers, Wealth Managers
Geographic Availability
Asia-Pacific, Europe