Compliance Monitoring and Management

Charles River IMS automates the compliance workflow and provides centralized compliance monitoring and management.

The solution supports compliance rule building, testing and maintenance, customizable reporting and a complete audit history. A powerful data administration facility helps monitor and improve data quality. The scalable compliance engine supports high volumes of trades, compliance rules, accounts and groups of accounts.

Key Benefits

  • Validate compliance results anytime: pre-trade, in-trade (at any stage of the trade cycle), post-execution and end-of-day
  • Streamline workflows by incorporating compliance rules into ‘what-if’ analysis
  • Re-run compliance ‘as of’ any historical date
  • Reduce risk and resolve issues with an end-to-end audit trail
  • Generate compliance trend reports to show the calculated value for certain compliance rules over time
  • Monitor substantial shareholder disclosure regulations
  • Maintain compliance tolerance levels for portfolio rebalancing models
  • Calculate and monitor gross or net exposures to any attribute such as country, issuer, currency or counterparty
  • Remotely monitor/manage pre-/post-execution compliance issues; respond to alerts/warnings via optional Charles River Anywhere workstation

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