Not complying with the legislation in place or the investment mandate signed by the client is a significant risk for any asset manager.
The amount of legislation to comply with has increased dramatically over the last years so that controls to be performed by the asset manager are ever increasing and becoming more complex.
2// Main features
- Built-in MIFID questionnaire allowing to determine the client risk profile
- Integrated name-check function for KYC purpose
- Sophisticated encryption system
- Pre-trade and post-trade automated investment constraints checks
- Alert in case of investment limits’ overdraft
- Alerts for missing or expired document legally required
- Standard reports allowing to quickly perform compliance checks
- Indicators to assess the risk profile of portfolio’s: volatility, volatility contribution, beta, tracking error, duration, yield-to-maturity, delta and gamma for options, hedging ratio, stress test, value-at-risk, expected shortfall…