Compliance and Regulatory

Stay compliant at scale

Protect revenue and reputation by meeting legal and fiduciary obligations during the investment process.

Align with internal & external requirements

Managing regulatory compliance, Internal guidelines and client specific mandates is complex. Embed the rule writing and testing process into an agile architecture built to align with investors.

Stay compliant while building multi-asset portfolios and executing trades. And prove it with an audit trail.

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300

Approximately 300 investment managers across 30 countries around the world use Charles River to stay compliant.

27

A top global asset manager centralized their entire investment process on Charles River, retiring & decommissioning 27 legacy systems.

Harmonize investments with obligations

Centralize Compliance Rules

Fragmented, inconsistent rule management is a risk. Eliminate that risk on a rules-based system and quickly create, edit, test, import and export rules.

Get started fast with a rich library and a Rules Wizard.

Or offload to in-house experts in our rule writing service.

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Easily Identify Breach Impact

Assessing the impact of a compliance violation is a moving target. Monitor compliance throughout the trade lifecycle to ensure rules are not broken.

Quickly evaluate a strategy’s compliance to benchmark, and ease regulatory reporting with a fully auditable system.

Research and resolve alerts quickly on a dedicated compliance workspace with intuitive dashboards.

Front to Back Platform

Separate systems break, but regulators don’t care. Confidently lower regulatory risk with compliance across the investment process. Our multi-asset investment management platform combines compliance with:

✔ Portfolio management system
✔ Performance & risk analytics
✔ Order and execution management
✔ IBOR
✔ Post-trade management
✔ Data management

Stay compliant every step of the way.

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Reduce risk by staying compliant across the investment lifecycle

Compliance is not a one-time event. Test throughout the investment lifecycle. Level set at start of day, validate ideas, test throughout the trading process, and assess historical workflows.

Streamline compliance across the investment process with sophisticated regulation technology that was uniquely designed to keep up with intricate regulations.

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Meet Legal and Fiduciary Obligations at Scale

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Lifecycle Support

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Rule Library

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Workflow Notification

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Reporting

Continuous support across the entire investment lifecycle.
✔ Pre-Trade
✔ In-Trade
✔ Placement
✔ Post-Trade
✔ Portfolio (Batch)
✔ As Of Portfolio Compliance
✔ What-if Compliance
✔ Future Position Limits
✔ Historical Compliance

Centralized, scalable and auditable rule management.
✔ 2,000+ sample rules
✔ Combination of regulatory and client supplied
✔ Versatile, intuitive UI for rule construction

Keep compliance tasks on track & auditable with real-time, automated alerts.
✔ Workflow monitor
✔ Real-time pop ups, emails, text message
✔ Integrated across the investment process

Automated, scalable and audit-ready visibility across the investment lifecycle.
✔ Drill-down capability
✔ 100+ compliance related reports
✔ Global Shareholding Disclosure
✔ Query compliance issues

Suite of compliance services

Free up more time to focus on building business. Supplement Charles River technology with a robust suite of compliance service offerings from our in-house experts.

Learn More about Compliance Services

✔ Compliance Rule Advisory Service
✔ Global Shareholder Disclosure Service
✔ Law Card Service
✔ Professional services