We enable investment managers to rigorously implement their compliance policies and controls at a lower cost. As regulatory pressures increase, compliance departments across the range of asset managers leverage our services to enhance their ability to do more with less.

We work as an extension of our clients’ internal compliance teams, providing additional bandwidth and flexibility to achieve organizational objectives.

WHAT WE OFFER:

  • Investment restrictions/guideline coding and monitoring
  • Post-trade monitoring and breach management
  • Account maintenance
  • Listing of updates
  • Pre-trade checks
  • Manual/non-codeable guidelines
  • Client certifications