Compliance Engine

Overview

Compliance rules can be set-up to be triggered as pre-trade, or post-trade (either pre or post-NAV).

Any kind of rule can be set-up, such as diversification risk (weight on NAV by issuer, group, country, sector, etc.), ownership ratio, counterparty risk, etc.

Depending on every rule’s severity, escalation processes are designed to monitor breaches.

Standard compliance reports are available to follow activity.

Key Benefits

Regulatory Rules

Regulatory rule packages for a number of juridictions like UCITS or AIF funds.

Flexible Compliance

Flexible compliance definition wizard, allowing the configuration of any kind of compliance ratio based on any static data criteria.

Breach Workflow

Standard and customizable Breach workflow process to cope with any internal escalation process.

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