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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

 


© 2019 Northern Trust Corporation. Head Office: 50 South La Salle Street, Chicago, Illinois 60603 U.S.A. Incorporated with limited liability in the U.S. Products and services provided by subsidiaries of Northern Trust Corporation may vary in different markets and are offered in accordance with local regulation. For more information, read our legal and regulatory information about individual market offices. This material is directed to professional clients only and is not intended for retail clients. For Asia-Pacific markets, it is directed to expert, institutional, professional or wholesale clients or investors only and should not be relied upon by retail clients or investors. Issued in the United Kingdom by Northern Trust Securities LLP.

Our Clients

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