Overview on Investment Compliance Services
Acuity Analytics’ Investment compliance support across pre- and post-trade monitoring, guideline interpretation and coding has enabled Investment compliance functions to do more with less. We help our clients protect themselves against reputational and financial risk because of guideline breaches and regulatory misses.
We enable our clients to manage increasing demands on their teams by providing customized managed services solutions that deliver operational efficiency, and significant cost savings.
Our team of experts have a unique combination of skill sets; they are tool agnostic and have extensive experience in leading investment compliance software and order management systems such as Bloomberg AIM, Ion’s (LZ) Sentinel, Charles River Database (CRIMS), ThinkFolio, and BlackRock’s Aladdin. They also bring deep domain understanding of Investment compliance monitoring functions and knowledge of global regulations such as the Investment Company Act of 1940, UCITS, Inv-G, ERISA, FINRA, the Securities Act of 1933, SFC, MPFA, FSA and APRA.
Investment Compliance Services Support We offer
Guideline Coding, Maintenance and Review
- Onboarding new funds and client accounts (institutional, private client and general accounts)
- Interpreting and analysing guidelines (IMA, prospectus, SAI, etc.)
- Creating and/or adding rules on investment compliance platforms
- Account hierarchy mapping, process flows and documentation
- Quality check and simulation testing for validation of rules and their output
- Revising/amending guideline mandate
- Testing and auditing rules
- Rule optimisation and/or updating rules in line with system enhancements
- Standardising rule coding through universal rules and rule libraries
- Scrubbing existing accounts to incorporate new logic and enhancements
- Account termination or closure process
- Creation and maintenance of watch lists, restricted lists and permitted lists
- Miscellaneous list creation reviews and updates
- Counterparty checks (allowed/restricted)
Pre- and Post-trade Monitoring
- Pre and Post-trade monitoring, to ensure no violation of guidelines due to executed trades or other factors such is inadequate data and market movements
- Monitoring notifications to portfolio managers or client account managers to take corrective action in the event of a violation
- Root cause analysis of investment guideline violation alerts
- Standardising the process through best practices and standard templates
- Responding to ad hoc queries and requests from the portfolio management team
- Trend and volume analysis reports
- Data science tools for analysis and resolution of major contributing alerts
- Responding to custodian emails in the event of a difference in coding or monitoring methodology
- Monitoring and reporting on manual guidelines (exception management)
Projects and Reporting
- Investment compliance system implementation
- Migrating and/or converting investment compliance systems (e.g., LZ Sentinel to Charles River or SimCorp to BBG AIM)
- Exceptions management tool testing– deployment and testing of clients’ post-trade automation tools
Tools
- Strategic process study for efficiency and control enhancement
- Strategic process study for efficiency and control enhancement
- Client reporting
- Periodic client certifications
- Ad hoc client reporting
- Monitoring alert reports
Technology Enablers
- Digitising investment guideline process
- Extracting and mapping Rules, for detailed annotation grid
- Perform (multi-way) gap analysis, stress testing and custom reporting
- Rules rationalisation
- Custom dashboards and report generation
- Automating the manual process for post-trade and end-of-day assessment of violations
- Comparative analysis, highlighting anomalies
- 30% efficiency gain on violation/alert management
- User tool for portfolio credit quality calculations
- Incorporating internal rating scheme to ensure accurate calculations
- Incorporating internal rating scheme to ensure accurate calculations
- Automating workflow for guidelines otherwise managed off the system
- Digitisation and maintenance of manual guidelines
- Audit-readiness and effective controls
- Evidence warehouse and custom reporting
Guideline coding manager
Violations comparative analyser
Portfolio credit quality calculator
Manual guidelines – BEAT Flow
What Defines Us
Our Teams
Connect with Us
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