Investment Tracking:
Intelligent Portfolio Compliance Management
Turn compliance from an operational challenge into a strategic advantage. Our advanced compliance management solution empowers financial advisors to create tailored investment portfolios while maintaining rigorous risk management and compliance principles. Easily track and monitor client compliance using allocations, concentration, liquidity, and risk limits. Monitor violations in real-time through dashboards and alerts. Protect the firm by documenting compliance deviations and embedding notes to audit and set up a clear remediation strategy directly within the platform fostering seamless collaboration between advisors and compliance officers.
Compliance Simplified: Empowering Advisory Excellence
Our platform empowers advisors to create more tailored client portfolios knowing they can track them through robust, embedded compliance processes. By automating compliance supervision across portfolio management, trading activities, and KYC reviews, advisors can save valuable time while instilling confidence in investors by showcasing robust, real-time compliance management. Our solution transforms compliance from an administrative burden into a strategic advantage, showcasing the advisor’s commitment to precision, transparency, and client protection.
Risk Profiling
Precise management rules, preferences, and constraints are applied to models and client portfolios. A mandate’s risk profile is determined from the values assigned to the five risk dimensions: objectives, risk tolerance, investment horizon, investment knowledge and risk capacity that clients instruct. The values assigned to each risk dimension can be derived from a firm-configurable risk questionnaire available within the platform.
Real-time Tracking with Alerts and Exception Reporting
Stay informed with automated alerts and exception reporting. Get notified of significant events, such as asset allocation breaches, market movements, or anomalies in portfolio performance, enabling you to take timely and necessary action.
With our compliance dashboard it is easy to visualize in real-time if any mandates are breached. For example, color coding indicates the status of the mandate – currently breached, approaching the boundaries, and reflects compliant mandates. A similar indicator in the form of a dot indicates the status as it relates to each specific grouping criterion. This is especially useful when tracking independent dimensions such as Asset Class and Currency.
Portfolio Supervision: Well-Designed, Configurable Dashboards
Gain real-time insights with customizable dashboards. The dashboards offer a clear and comprehensive view of key metrics so you can monitor allocation guidelines, risk and other critical factors at a glance. With detailed reporting and full audit trail capabilities you can track compliance metrics including leverage rules and concentration limits to prevent overexposure to individual securities. You can verify compliance based on the constituents of funds through look-through exposure functionality, while also benchmarking client mandate performance against blended indices, individual indices, or specific securities for thorough performance evaluation.
Trading Supervision: Quick and Easy Rebalancing
Enable direct and seamless rebalancing without additional administrative overhead, while providing granular visibility into fund constituents at both account and household levels. Advisors can rebalance portfolios automatically to align with the client’s pre-defined Investment Program Strategy (IPS) framework every time a change is made and benchmark client mandates against blended indices, individual indices, or specific securities. Manage monthly rebalancing and quarterly compliance checks efficiently while leveraging sophisticated risk analytics to monitor volatility thresholds.
Stay Compliant
Automate and simplify processes to track compliance across the entire organization.