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

SOLUTION OR SERVICE TYPE
Credit Risk Management Systems, Investment Portfolio and Risk Analysis, Liquidity Risk Systems, Market Risk Systems, Pricing and Valuation Systems, Regulatory Reporting Systems
User Suitability (Capital Markets & Investment Mgmt)
Asset Managers, Wealth Managers
Geographic Availability
Asia-Pacific, Europe
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