Products & Services

Performance & Risk Analytics: Compliance

Investment Guidelines
Compliance monitoring starts with the data and the creation of precise investment guidelines in accordance with portfolio-specific and regulatory rules. Leveraging the extensive range of security and portfolio level attributes available within our database, we are able to support a wide range of investment guidelines including fully customized, multi-level rules.

Reporting
As with other analytical disciplines, making sense of your compliance information is very important. We offer flexible reporting to deliver the information you need. Reports can be created at summary and detailed levels for individual accounts or composite.

Results can also be viewed as 'Violations Only" — reporting securities, groups or issuers in violation of the specified guideline or "Guidelines Results" — all results, regardless of whether guidelines are in violation. Compliance reports can be generated on a daily, month-end or quarter-end basis and can be scheduled to run automatically.

In addition to comprehensive reporting, automatic email violation notices are also generated. These electronic notifications alert you whenever your portfolio managers make investments that exceed or violate investment guidelines, so that you are quickly positioned to take action.