By Department


In today’s complex global market, regulatory and investor requirements are constantly changing. You need to proactively monitor regulatory issues, investor mandates, and firm requirements. Our advanced compliance application seamlessly integrates compliance checks and monitoring on a pre-, intra-, and post-trade basis, helping you to build a repeatable process that limits manual intervention. You can rely on our experienced team of compliance specialists to implement and test your compliance rule set, provide in-depth user training, and ensure your rules and reports remain up-to-date. 

  • Configure and manage your own compliance rules

  • Schedule post-trade compliance checks

Key Benefits

  • Automate and integrate your compliance checks across the investment lifecycle
  • Efficiently build rules with hundreds of industry-standard rule templates
  • Stop rule violations before they occur with pre-trade compliance
  • Rely on a dedicated team of compliance product specialists to implement and test your rule set
  • Aggregate the data required for complex regulatory filings (e.g. Form PF, AIFMD)

Key Features

Pre-Trade Compliance

  • Automate intra-trade compliance checks and notification of violations at any stage of the trade lifecycle
  • Monitor your firm's trading activity at multiple stages including trade entry and order execution 


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 

Rule Creation & Management

  • View all existing rules and assignments from a single workroom
  • Configure and manage your own compliance rules with our user-friendly rule application
  • Assign a single rule to multiple portfolios


Regulatory Reporting

  • Actively monitor significant ownership stakes with real-time alerts that notify you when you need to file with regulators
  • Automate your regulatory filing process

Alert Management, Research & Reporting

  • Automatically notify your team of rule violations with email alerts and automated reports
  • Set up regulatory filing schedules with multiple violation thresholds
  • Drill down  to view positions triggering the rule and the exact calculation behind that violation


Relevant Applications

Advanced execution and integrated compliance controls

Enterprise-grade compliance with the ability to scale to your needs

Post-trade compliance tools

Ready To Talk?

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