Solution introduction

A comprehensive solution for trading, compliance, and portfolio monitoring

Turn your manual policies and procedures into automated processes and lift compliance to a new level

Turn trading policies into automated processes
Advent Rules Manager is a comprehensive solution for pre- and post-trading compliance, eliminating manual labor and improving accuracy. Working together with Advent’s Moxy trade order management system, Advent Rules Manager allows you to implement the proactive controls demanded by regulators, manage your clients’ complex restrictions, and improve compliance readiness – demonstrating that your firm is following best practices in managing risk.

Why choose this solution

  • Proactive, pre-trade rule checking
  • User-friendly rules creation template library, for compliance automation.
  • Rules home page with view into compliance activity
  • Portfolio holding checks to determine whether trades will affect portfolio composition
  • Rule suppression for approved trading exceptions
  • Audit trail to see which rules were applied, when and by whom

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