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Compliance monitoring

Survey questionnaire
Rate your providers on up to 7 service elements
All responses will be treated in the strictest confidence

Compliance monitoring service

Monitoring positions of each line of stock, particularly across multiple investment managers, and reporting by reference to pre-determined compliance criteria.


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Client-driven rule setup process

Enabling clients to easily set up their own rules for compliance checks.


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Standard checks for regulatory compliance

Setting up all rules for appropriate regulations and ensuring that they are checked on the agreed timescale.


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Tailored checks for mandate compliance

Setting up all rules for compliance with agreed mandate and ensuring that they are checked on the agreed timescale.


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Pre-trade compliance

Conducting checks, prior to trade execution, of compliance with pre-determined investment restrictions, such as industry concentration limits.


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Post-trade compliance

Regularly checking the compliance of a portfolio with pre-determined investment restrictions, such as industry concentration limits.


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Timely reporting of compliance breaches

Reporting of compliance breaches on a timely basis.


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