ITG Compliance Monitoring System

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Centrally manage global portfolio compliance activity across all phases of the investment process, security types, and global compliance directives. Real-time, pre-trade compliance checks help you avoid potential violations of ownership thresholds or other restrictions prior to execution. End-of-day capabilities automate the process of determining daily compliance status across a wide range of investments, funds, and mandates.

Key Features

Build and apply rules easily. Use our global rules library, “natural language” rule-building facility, and “drag and drop” capabilities to apply rules to portfolios or accounts.

Make informed investment decisions. Portfolio Managers can analyze the compliance impact of a proposed portfolio change quickly and effectively.

Protects your investments. Adheres to simple restriction rules as well as performs complex real-time calculations to minimize losses from excessive style drift, insufficient diversification, and credit exposure.

Resolve and respond quickly. View all relevant data for investigating exceptions through drill-down capabilities and links to embedded supporting documentation. Quickly compile historical data online to satisfy common requests from regulators and auditors.

Demonstrate “affirmative compliance”. Going beyond exception-based systems, it maintains your state of compliance for all rule evaluations, pass or fail.

Key Benefits