Risk & Compliance
Compliance, risk, and legal teams rely on the platform for both pre- and post-trade compliance monitoring. Tools for managing liquidity and concentration limits, Value at Risk (VaR), and stress testing ensure robust risk controls. Internal policies can be enforced with detailed breach explanations, while integrated regulatory reporting and document control support governance and audit readiness.
Key Features
Real-Time Pre-Trade Compliance Checks
Avoid breaches before they happen.
Automated Post-Trade Compliance Monitoring
Track every breach and stay ahead of audits.
Performance, Volatility & Risk Metrics
Understand the risk profile of your investments—quantitatively.
Flexible Rule Engine & Policy Modeling
Translate complex policies into powerful logic.
Integrated Rebalancing & Compliance Simulation
Test before you trade.
Audit-Ready Compliance Oversight & Reporting
Deliver transparency to regulators, clients, and internal stakeholders.
Real-Time Pre-Trade Compliance Checks
Avoid breaches before they happen. Simulate trades and rebalancing scenarios in real time, ensuring that investment decisions comply with regulatory and internal guidelines before execution.
- Instant validation of proposed trades during modeling or rebalancing
- Role-based trade approval and breach override-and-explain functions
- Rule-based alerts by severity level (info, warning, hard breach)
- Granular control on sector, region, strategy, and any kind of exposures
- Dynamic rule testing on projected portfolio composition
- Integration with portfolio construction and order management tools
Automated Post-Trade Compliance Monitoring
Track every breach and stay ahead of audits. Once trades are executed, monitor portfolios against compliance rules continuously, with exception reporting and full traceability.
- Daily rule monitoring on actual portfolio data
- Customizable breach logs with escalation workflows
- Historical compliance dashboards with drill-down capability
- Alerts for missing documentation or expired legal constraints
- Exception-based reporting with exportable breach history
Performance, Volatility & Risk Metrics
Understand the risk profile of your investments—quantitatively. Evaluate risk through advanced volatility and correlation metrics, even with sparse or estimated data.
- Correlation matrices across assets, sectors, or portfolios
- Drawdown, Beta, Sharpe, Sortino ratios and much more
- Historical and forward-looking volatility analysis
- Parametric, historical, and Monte Carlo-based VaR
- Illiquid asset treatment via proxy or estimation models
Flexible Rule Engine & Policy Modeling
Translate complex policies into powerful logic. Easily configure compliance rules for a portfolio, strategy, or firm-wide policy.
- Group-level aggregation controls by sector, region or any available classification
- Severity levels to tailor monitoring and approvals
- Rule libraries reusable across multiple portfolios or strategies
- Multi-rule sets for legal, regulatory, ESG, or client mandates
- Rule builder with programmatic language to implement your most complex rules
Integrated Rebalancing & Compliance Simulation
Test before you trade. Incorporate compliance constraints directly into portfolio rebalancing and construction sessions for faster, safer decisions.
- Compliance-aware portfolio simulation engine
- Real-time alerts while adjusting portfolio weights
- Scenario Optimizer to find optimal compliant allocations
- Clear violation explanations to support investment choices
Audit-Ready Compliance Oversight & Reporting
Deliver transparency to regulators, clients, and internal stakeholders. Maintain a detailed audit trail of rule configurations, checks, and exceptions—automatically compiled for fast reviews.
- Role-based access and digital sign-off trails
- Timestamped logs of every rule check and outcome
- Pre-formatted regulatory compliance reports
- Data export for external audits and oversight
- Centralized dashboard for compliance team supervision
Ready to Take Your Investment Management to the Next Level?
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