Compliance & Regulatory

Charles River IMS provides centralized compliance monitoring and management over the investment life cycle, with complementary services that aim to reduce costs and maintain compliance a broad range of global regulations.

The solution helps automate the compliance workflow and supports 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 compliance capabilities that are designed to improve front office productivity include:

  • Monitoring gross or net exposures to any attribute such as country, issuer, currency, or counterparty
  • Validate compliance results anytime: pre-trade, in-trade, post-execution and end-of-day
  • Help reduce risk and resolve issues with an end-to-end audit trail
  • Streamline workflows by incorporating compliance rules into ‘what-if’ analysis
  • Re-run compliance “as of” any historical date
  • Generate compliance trend reports to show the calculated value for certain compliance rules over time
  • Maintaining compliance tolerance levels for portfolio rebalancing models
  • Monitor substantial shareholder disclosure regulations
  • Streamlines the process of determining jurisdictional investment restrictions.

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Compliance Services

Charles River’s MiFID ll Solution

Charles River provides investment managers with an end-to-end solution for meeting regulatory obligations under the European Union’s Markets in Financial Directive II (MiFID II). The solution captures key data and trade lifecycle decision points needed to comply with new requirements for trade and transaction reporting, best execution and commission management.

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