fbpx

Investments compliance & Limits management

An investment compliance and limits management software system for asset management is a critical tool for ensuring regulatory compliance, managing risk, and maintaining transparency in investment activities. RiskValue™ automatically provides systematic supervision of investment portfolios for post- or pre-trading activities while alerts and warning messages notify unfavorable exposures and metrics.

Core Features

  • Limits handling at both client, portfolio, or group of portfolios levels from their activation through their entire lifecycle.

 

  • Monitoring of investment profiles of private portfolios based on investment strategies.

 

  • Monitoring of exposure of margin accounts and create your own criteria for real-time monitoring.

 

  • Compliance functions interfaced to external compliance engines to perform pre-trade and post-trade checking.

 

  • Rules-based compliance limits support regulatory, client and risk constraints on investment portfolios.
  • User defined creation of quantitative and qualitative limits, combinations, formulas, if statements, alerts & multiple level warning messages.

 

  • Compliance functions can be interfaced to external compliance engines to perform pre-trade and post-trade checking.

 

  • Custom alerts configuration and get notifications on key events – warnings mechanism.

Benefits

  • Provides timely and accurate information on limit exceptions for systematic supervision of fund strategies and regulatory constraints.

 

  • Automates monitoring of investment limits and regulatory constraints.

 

  • Ensures systematic supervision through consistent and effective monitoring of limits.

 

  • Handles complex multi-level limit structures efficiently.

 

  • Aggregates utilization at any level of the limit structure for comprehensive oversight.
  • Sets portfolio limits across a combination of dimensions and monitors breaches/excesses in a pre-deal manner.

 

  • Simultaneously monitors all types of exposures and metrics, ensuring a holistic view of portfolio risks.

 

  • Ensures regulatory compliance with regards to concentration limits, safeguarding against non-compliance risks.

Core Features

  • Limits handling at both client, portfolio, or group of portfolios levels from their activation through their entire lifecycle.

 

  • Monitoring of investment profiles of private portfolios based on investment strategies.

 

  • Monitoring of exposure of margin accounts and create your own criteria for real-time monitoring.

 

  • Compliance functions interfaced to external compliance engines to perform pre-trade and post-trade checking.

 

  • Rules-based compliance limits support regulatory, client and risk constraints on investment portfolios.
  • User defined creation of quantitative and qualitative limits, combinations, formulas, if statements, alerts & multiple level warning messages.

 

  • Compliance functions can be interfaced to external compliance engines to perform pre-trade and post-trade checking.

 

  • Custom alerts configuration and get notifications on key events – warnings mechanism.

Benefits

  • Provides timely and accurate information on limit exceptions for systematic supervision of fund strategies and regulatory constraints.

 

  • Automates monitoring of investment limits and regulatory constraints.

 

  • Ensures systematic supervision through consistent and effective monitoring of limits.

 

  • Handles complex multi-level limit structures efficiently.

 

  • Aggregates utilization at any level of the limit structure for comprehensive oversight.
  • Sets portfolio limits across a combination of dimensions and monitors breaches/excesses in a pre-deal manner.

 

  • Simultaneously monitors all types of exposures and metrics, ensuring a holistic view of portfolio risks.

 

  • Ensures regulatory compliance with regards to concentration limits, safeguarding against non-compliance risks.

SUCCESS STORIES

Ready to see our solutions in action?

Book a 20-minute call with our team and explore how we can tailor our offerings to meet your unique needs. Dive deeper into the features and benefits that will drive your success. Let’s start a conversation that could transform your business.

MORE RELEVANT SOLUTIONS

Investment Management back-office system of RiskValue™ platform is designed to streamline and optimize tasks involved in managing advisory …

Risk and Performance are two faces of the same coin; therefore, they should be examined together. However, because they use different mechanics, they are often analyzed using different systems …

Account management front-office software of RiskValue™ platform provides relationship managers critical tools to efficiently manage client relationships, streamline workflows, deliver …

Portfolio Management system of RiskValue™ platform is an integrated front-office solution that provides essential tools to portfolio managers for effectively managing investment accounts, …

Performance Analysis module of RiskValue™ provides an extensive range of functions and tools necessary for the visualization and explanation of portfolio performance, the in-depth analysis of …

Regulatory reporting module of RiskValue is tailored for wealth and asset management companies to provide efficiency and ensure compliance in accordance with MiFID (Markets in Financial Instruments Directive). …

Investment Management back-office system of RiskValue™ platform is designed to streamline and optimize tasks involved in managing advisory …

Risk and Performance are two faces of the same coin; therefore, they should be examined together. However, because they use different mechanics, they are often analyzed using different systems …

Account management front-office software of RiskValue™ platform provides relationship managers critical tools to efficiently manage client relationships, streamline workflows, deliver …

Portfolio Management system of RiskValue™ platform is an integrated front-office solution that provides essential tools to portfolio managers for effectively managing investment accounts, …

Performance Analysis module of RiskValue™ provides an extensive range of functions and tools necessary for the visualization and explanation of portfolio performance, the in-depth analysis of …

Regulatory reporting module of RiskValue is tailored for wealth and asset management companies to provide efficiency and ensure compliance in accordance with MiFID (Markets in Financial Instruments Directive). …

Fill the form to download the brochure