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Investment Compliance Monitoring

Innovation Solutions to your expanding needs

Today, investment governance is under ever-greater regulatory scrutiny and transparency is paramount.

Understand the investment activities carried out on your behalf in real time. Avoid and identify breaches of your rules and quickly engage investment managers to resolve issues.

 

POWERFUL TECHNOLOGY TO MONITOR COMPLIANCE WITH YOUR INVESTMENT GUIDELINES


Using new and innovative technology, we have rebuilt our post-trade compliance platform, including the Compliance Analyst® monitoring system and the Compliance RADAR™ workflow tool, to deliver transparency and control across your investments quickly and intuitively. Monitor adherence to guidelines easily using quality data and powerful automation.

  • Identify and correct issues before they become breaches
  • Gain greater control by creating rules which accurately reflect your investment guidelines
  • Resolve issues faster with intuitive tools that allow you to swiftly investigate what has happened
  • Work together online with your team in real time, sharing notes and creating an audit trail

Our Clients

Our Asset Servicing group offers services and solutions to a wide range of clientele. Some of our key clients include: