Regulators expect wealth managers to demonstrate operational and cyber resilience and proactively engage with changing rules and expectations
Portfolio monitoring
Our real-time portfolio risk monitoring and assessment offers enhanced due diligence and auditing and pre-emptive help to address regulatory compliance (including for Consumer Duty in the UK, and MiFID and SFDR in the EU).
Automation of pre-trade compliance
Our next-generation Global Rules Engine automates pre-trade compliance checks and simplifies pre-trade checks, shortens the order booking cycle, supports a pre-trade scorecard to show rules evaluation results holistically, and provides audit justification and on meeting pre-trade compliance.
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