Compliance Services
Overview
Our compliance monitoring services provide you with comprehensive solutions that efficiently and objectively monitor adherence to the industry guidelines you identify as requirements. From the simplest requirement to the most complex quantitative procedures, your restrictions and limitations can be applied across a single portfolio or across multiple portfolios. You can actively monitor your investments against management policies on a post-trade, pre-settlement date basis.
Our core capabilities include:
|
>
|
Asset allocation and issuer concentration
|
|
>
|
Industry, sector and security investment limits
|
|
>
|
Credit quality
|
|
>
|
Duration, value-at-risk (VaR) and other risk characteristics, leverage restrictions
|
|
>
|
Country and regional exposures and investment rules
|
|
>
|
Asset mix, tracking error, quality ratings
|
|
>
|
Corporate governance and industry regulations
|
Our expert global compliance service team can help you customize your investment compliance guidelines and simplify monitoring with breach notification, exception resolution and supplemental reporting.