Adhere to internal policies and investment mandates with highly configurable, built-in compliance functionality. Business processes and workflow are facilitated, and action histories are accessible.
Tailor the rules.
Mandate rules are easy to configure and link with individual or grouped portfolios. Pre-trade compliance occurs automatically as part of the order allocation and order generation process.
Run compliance checks at any time.
Compliance can be run at any time or scheduled daily to ensure that the compliance records are up-to-date. You can check compliance for an individual or group of portfolios.
Outstanding client breaches are clearly visible within the adviser desktop, and may be incorporated into workflow for review.
Record your actions.
An extensive audit trail records all actions carried out on the database, allowing you to retrieve and view your compliance history on demand.
Store and easily retrieve all correspondence items for a client and report on communications or other actions made against client data.
Set alerts.
Apply automated exception-based rules across an entire client database, leveraging consolidated client and portfolio data.
Alerts let you monitor client data, and report on trends and risks.
Rule criteria supports filtering client breaches and setting priority and breach levels. Defined follow-up actions ensure alerts are never missed and workflow is maintained.
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Features
- Configurable compliance framework
- Individual and packaged compliance mandates
- Pre-trade and post-trade compliance checks
- Pro-active alerts and workflow
- Advice and post-trade compliance
- Reports for client advisers and portfolio managers
Product: Private Wealth
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"Automated and on-demand checks for managing business rules and mandates."
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