NeoXam Compliance

NeoXam Compliance is your state-of-the-art solution for pre and post-trade regulatory and client compliance checks. At any point during your investment process, you can make sure all controls are in place to comply with European and national regulations, prospectus and client guidelines.

As you invest in more markets, and in more investments vehicles for a more diversified client base, your operational risk can significantly increase and the constraints applicable to the investment process will become more complex to monitor. You require specific alerts that are tailored to the severity of potential breaches as well as the flexibility to decide where blocking or warning gates may apply.

Available throughout the trading cycle or as a standalone post-trade analysis solution, NeoXam Compliance offers advanced rule scripting capabilities, a full audit trail and flexible reporting. It is designed to support high volumes of trades, rules and portfolios for global and diversified investment management organizations.

In addition to the rule definition “Flexibility”, NeoXam Compliance allows you to autonomously customize the underlying data you may wish to include in new rule calculations whenever needed.

Key features

  • Pre-Trade Rule Checks
    • Pre-Trade Compliance check with real-time alerts and override authorization workflow
    • Compliance check simulation in “what-if” scenario analysis
    • On demand check with full audit of results and underlying holding situations
  • End-of-Day Compliance
    • Violation blotter: Follow up of violation by rule/portfolio/severity
    • Tracking of violation resolution
    • Comment and communicate on pending resolutions (case management, e-mails, assignments…)
  • Rule definition
    • Rule wizard and flexible Rule framework for Rule definition
    • Powerful rule scripting mechanism for complex rules
    • Audit of Rule updates; Rule version management
    • 4-eyes mechanism to approve Rule and Rule context edits
    • Market value or exposure based calculations, including look-through for derivatives and Funds of Funds
    • Multiple fund structure level (Parent, Master/Feeder…)
  • Reporting and Data Administration
    • Web based compliance dashboards
    • Compliance report scheduler and archiving mechanism
    • Multiple report format
    • Extendable data dictionary
    • Online access to all historical underlying holding and referential data corresponding to all compliance results


Benefits of our solutions include:

  • Simplified maintenance tasks: single set of rules from front-to-back controls
  • Increased reliability:real-time data management and extendable dictionary; support for large volume of rules and data
  • Consistency and accuracy throughout: support for multi-asset classes, multi-currency and multiple fund structures
  • Better timing: decreased time to market for new rules
  • Enhanced productivity: multi-regulations on a single platform, ASP or installed
  • Upward compatibility: easy integration with multiple systems using Java messaging, web-services and an ETL tool


NeoXam Compliance shall be installed on site. It relies on its own Database (Oracle, Sybase) and interacts with external applications through standard messaging services for both real-time and ad-hoc import/export procedures.

NeoXam Compliance is natively connected to NeoXam Manager for Pre- and Post-Trade compliance controls and is perfectly integrated to our NeoXam Accounting solution (NeoXam GP3) for Post-Nav compliance checks.

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