Compliance

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.

• 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

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