Solution introduction
Financial compliance monitoring
Make sure investments in a client’s portfolio are in line with the investment policy statement they agreed to with their financial advisor
Help your compliance department stay on top of promises made to clients by financial advisors.
ComplianceIQ allows allocation monitoring, as well as monitoring holdings, performance and other statistics against agreed limits.
How it works
ComplianceIQ monitors up to 17 different rules, including:
- Target allocation
- Restricted securities
- Concentrated positions
- Risk and return
- Quality ratings
- Portfolio turnover
- Performance vs benchmark
It carries out violation tracking, and logs when policy exceptions are resolved, keeping a record of when the issue was closed, tasks sent to other users and notes on the issue.
