Compliance and Regulatory

Charles River IMS provides centralized compliance monitoring and management across the investment life cycle, with complementary services to help buy-side firms reduce costs and attain compliance with a growing number of regulatory mandates including Global Shareholder Disclosure and MiFID II. Charles River’s deployment experience across a global client base gives our Compliance Services team a level of knowledge and depth of skills difficult to match and maintain with in-house staff alone.

Key compliance capabilities that improve front office productivity include:

  • Monitoring gross or net exposures to any attribute such as country, issuer, currency or counterparty
  • ‘What-if’ compliance analysis to streamline portfolio management workflows
  • Compliance validation anytime: pre-trade, in-trade, post-execution and end-of-day
  • Maintaining compliance tolerance levels for portfolio rebalancing models

The solution enables customizable reporting and supports remote/mobile monitoring of compliance issues. A highly performant and scalable compliance engine supports high volumes of trades, compliance rules, accounts and groups of accounts.

Global Shareholder Disclosure: Challenges and Solutions

Learn about global shareholder disclosure challenges facing buy-side firms in a rapidly changing regulatory environment.

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Global Shareholder Disclosure: Challenges and Solutions

Learn about global shareholder disclosure challenges facing buy-side firms in a rapidly changing regulatory environment.

Watch the Video >

The Benefits of a Single MiFID II Solution

Technology plays a key role in ensuring that firms will be ready to meet these requirements. Charles River’s Alun Cutler discusses the advantages of an end-to-end platform over multiple disparate systems for ensuring MiFID II compliance.

Watch the Video >

The Benefits of a Single MiFID II Solution

Technology plays a key role in ensuring that firms will be ready to meet these requirements. Charles River’s Alun Cutler discusses the advantages of an end-to-end platform over multiple disparate systems for ensuring MiFID II compliance.

Watch the Video >

Looking for a Compliance and Regulatory solution?

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