Integrated Compliance

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Define compliance rules

From firm-wide, to product-level  and even to portfolio-specific compliance rules; our flexible rules engine gives you the confidence to say “yes” to even the most challenging constraints in Investment Policy Statements 

TRADE-LEVEL AUDIT LOGS PROVE HISTORICAL COMPLIANCE

Demonstrate continual compliance with historical, per-trade audit logs.  Validate the allocation model, any overrides, and the trade rationale.  Audit logs are stored to ensure trades can be proved fair and equitable, no matter how long ago they took place. 

SEC Rule 2a-7 compliance for money market funds

Ensure that each fund meets the SEC mandated risk-limiting conditions on a pre and post trade basis.  Additionally check for adherence to additional internal restrictions. The powerful stress testing feature lets managers demonstrate fund response to interest rate shifts, spread changes, downgrades/defaults, and redemption scenarios – and provides the security level details to give transparency and comfort to fund boards. 

Allocate Block Trades In an equitable and defensible manner

Model-driven trade allocation consistently applies approved allocation methods.

Enforce compliance pre-trade and post-trade

Integrated compliance lets you test rules on a static basis, as well as preventing violations due to trading.  

specify ranges as “pass”, “fail”, “warn”

Be alerted when a portfolio is moving into your custom zone of concern, before it hits a compliance limit.