By Business Need

Compliance & Regulatory Reporting

You need technology that is flexible and configurable so you can easily adapt to changing compliance and regulatory requirements. Whether you want to comply with regulatory requirements, investor restrictions, or internal firm controls, we provide technology solutions designed specifically for the specialized needs of your compliance team. Our dedicated team of compliance specialists works with your compliance team to implement and test your compliance rule set, provides in-depth user training, and partners with you over time to ensure your rules and reports stay up-to-date.

  • Choose from hundreds of industry standard rule templates and regulatory libraries

  • Highly configurable rule assignments

  • Configure compliance alerts to run post-trade

Key Benefits

  • Reduce manual work by leveraging automated compliance checks
  • Build rules efficiently using hundreds of industry-standard rule templates and regulatory libraries
  • Take a proactive, preventative approach using pre-trade compliance


  • Identify the root cause of alerts by “drilling” into the relevant trades and positions
  • Easily manage rules, rule assignments, and alerts in an intuitive user interface
  • Aggregate the data required for complex regulatory filings (e.g. Form PF, AIFMD)
  • Leverage experienced compliance consultants to implement and test rules

Key Features

Pre-Trade Compliance

  • Monitor your firm's trading activity at multiple stages including trade entry and order execution 
  • Receive real-time notification when an order is in violation
  • Automate intra-trade compliance checks and notification of violations at any stage of the trade lifecycle
  • Place trades in "Hold" state to be reviewed by Compliance before executing in the market


Post-Trade Compliance

  • Schedule post-trade compliance checks to run multiple times a day for a variety of fund aggregations
  • Run compliance checks ad-hoc to assess the impact of a variety of events including corporate actions and market changes 
  • Alert your compliance team of rule violations via email, our iPad app, or in our enterprise software

Rule Creation & Management

  • Configure and manage your own compliance rules with our user-friendly rule application
  • Designate a violation severity level for each rule 
  • Configure lists of variables (e.g., symbols, currencies, brokers, custodians) and use them in multiple rules
  • View all existing rules and assignments from a single workroom
  • Assign a single rule to multiple portfolios


Regulatory Reporting

  • Aggregate data for complex regulatory filings such as Form PF and AIFMD  
  • Automate the filing process
  • Assign key questions to users and track status
  • Manage question approval workflows
  • Review, store, and export all filings
  • Complete audit trail and historical data storage
  • Actively monitor significant ownership stakes with real-time alerts notifying you when you need to file with regulators
  • Combine data from multiple sources including OMS, PMS, or any other external provider

Alert Management, Research & Reporting

  • Automatically notify your team of rule violations with email alerts and automated reports
  • View and track compliance history including rule changes and assignments in the audit trail
  • Run diagnostic checks to ensure data integrity 
  • Set up regulatory filing schedules with multiple violation thresholds
  • Suspend alerts that have breached violation thresholds until you breach the next threshold
  • Drill down  to view positions triggering the rule and the exact calculation behind that violation


Relevant Applications

Eze Software EMS

Compliance integrated into the trading experience

Eze Software OMS

Enterprise-grade compliance engine to support the entire investment lifecycle

Eze Software PMS

Post-trade compliance with a fixed rule set

What People Are Saying


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Ready To Talk?

If you like what you see, our
sales team will be happy to talk
through the options with you
and help find a solution that
works for you. Give us a call
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