Advanced Compliance Engines to Focus On Business Objectives
Our Trading Compliance module features a flexible, user-intuitive approach to defining the investment guidelines and regulatory rules that apply to your firm. It offers a robust view into trade compliance activity and runs compliance checks pre-, intra-, and post-trade.
Compliance
Satisfy Investor Requirements
•Integrates compliance with portfolio modeling and re balancing features and scenario analysis
•Reduces allocation process overhead by integrating post-trade compliance into allocation and re balancing workflows
•Monitors for portfolio compliance to uncover changes due to market changes and corporate actions
•Can recreate trades and positions for compliance investigations
Flexibility
Support Along The Way
•Includes support for concentration limits, eligibility rules, restricted and watch lists, filing thresholds, and warning tolerances
•Real-time data feeds for real-time calculations on market value, NAV, and exposures
•Pre-packaged rule libraries for standard and ’40 Act rules
•Detailed audit trail and capture of calculations at time of compliance run.
•Comprehensive reporting on all compliance activitys
Get the data you need to manage better business outcomes.
® & © 2020 Portfolio BI, Inc. All rights reserved.
