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Compliance and Regulatory

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Charles River IMS provides centralized compliance monitoring and management over 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 any time: pre-trade, in-trade, post-execution, and end-of-day
  • Maintaining compliance tolerance levels for portfolio rebalancing models

The solution helps enable 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.

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. 
View the MiFID II Solution Brochure >

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 >

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