Charles River Compliance provides a centralized and organized real-time view of investment compliance operations. With real-time pre-trade, post-execution, and end-of-day compliance monitoring capabilities, Charles River Compliance helps to resolve potential compliance concerns before they become problems. The Dashboard, or central workspace, provides compliance officers with all of the tools required to manage enterprise-wide investment compliance. Users can manage compliance issues and data, navigate to pertinent underlying data, respond to compliance issues, and much more—all from one window.

A flexible rule builder facility makes it easy for business users to set up and apply complex compliance rules to accounts or groups of accounts, while metadata allows for the testing of an unlimited number of user-defined values. Charles River supplies comprehensive regulatory and general example standard rule libraries to assist with rule creation. (See Global Rule Libraries)

Charles River Compliance improves internal and external compliance communications with flexible options for communicating alerts internally as well as Web-based reporting capabilities for sending data out to interested parties. In addition, Charles River Anywher allows users to address alerts via the Web or any Web-enabled wireless device.

Global Rule Libraries

Charles River supplies comprehensive, global regulatory and general example standard rule libraries, which include these key regulatory rules :

• Australia
• Substantial Holdings
• Austria
• Investment Fund Act 1993 (InvFG)
• Canada
• National Instrument 81-102
• Germany
• Investmentgesetz (InvG)
• DerivateV
• Ordinance on the Investment of Restricted Assets of Insurance Undertakings (Anlageverordnung – AnlV)
• Law on the Supervision of Insurance Undertakings (Versicherungsaufsichtsgesetz – VAG)
• Hong Kong
• Securities and Futures Commission (SFC)
• Mandatory Provident Fund Schemes Authority (MPF)
• Ireland, Italy, France [update pending], Luxembourg, Sweden
• UCITS III
• Japan
• Investment Trust Association (ITA)
• Singapore
• Monetary Authority of Singapore Collective Investment Schemes (CIS)
• Central Provident Fund Board (CPF)
• South Africa
• Collective Investment Schemes Control Act (CISCA 2003)
• Pension Funds Act (Regulation 28)
• Switzerland
• BVV2
• KAGG - Collective Investment Schemes Act (CISA)
• KKV - Collective Investment Schemes Ordinance (CISO)
• KKV-EBK - Collective Investment Schemes Ordinance SFBC (CISO-SFBC)
• United Kingdom
• FSA New Collective Investment Schemes (COLL) Chapter 5
• United States
• IRS Sub-Chapter M and L rules
• SEC 1940 Act guidelines for mutual funds
• SEC Rule 2a7 guidelines for taxable and non-taxable money market funds
• State-specific insurance guidelines
• General
• Derivatives Rule Library (v8.2)

Existing libraries and new libraries are updated on a regular basis. Please contact Charles River for latest information