Alignment Systems
Software design, development and consultancy services for investment banks, asset managers and hedge funds
Compliance Engine
| Business Requirements |
| "Can we see if a portfolio is over or under invested at a sector level versus a model portfolio?" |
| "Can we see if a portfolio is out of line to a stock model?" |
| "Can we see if a portfolio would be taken out of line by intra-day price movements?" |
| "Can we reduce the number of mistakes and subsequent unwinding trades due to unrecognised mandate breaches?" |
| "Can we have a system to show to the FSA to prove that we take compliance seriously?" |
Rules Types
| Business Rules | Details |
| Stock level limitation | All security attributes - such as duration, convexity, accrued interest, bid price, offer price, classification etc. can be used with compliance rules |
| Portfolio level limitations | Portfolio level calculated attributes such as weighted average duration, portfolio yield. |
| Client specific regulations | Based on mandates, objectives and risk profiles |
| Look Through based | A powerful look through engine allows the system to run compliance rules on the underlying exposure of the holdings in a collective investment |
| Real time based | Run rules based on real time data to see the most up to date valued positions. |
The Alignment Compliance Engine provides sophisticated compliance functionality at a lower cost than the competition. Why not get in touch and ask for a no-obligation demonstration and see what an automated compliance system can do for you.
Contacting Alignment Systems
To get in touch mail us at enquire@alignment-systems.com