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.

Digital Operational Resilience Act (DORA)

The EU’s Digital Operational Resilience Act (DORA) recently took effect and is intended to help enhance technology security and resiliency of financial firms, with a particular focus on Information and Communication Technology (ICT) providers. We are committed to meeting DORA standards as they apply to the services we provide. Read more about this regulation and how CRD is responding.

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