Investment Compliance Monitoring
INTERACTIVE DASHBOARD REPORTING
TECHNOLOGY-ONLY OR AS A MANAGED SERVICE
EMAIL ALERTS AND NOTIFICATIONS OF BREACHES
Core Features of Our Investment Compliance
Monitoring Module
We provide out-of-the box coverage of regulatory rules, industry sector rules and prospectus / mandate rules.
In-built rules engine containing 2,000+ investment rules maintained and fully up to date
Ability to create customised rules to meet your monitoring requirements
Comprehensive liquidity, leverage and counterparty risk monitoring functionality
Available as Technology-only or as a Managed Service
Email alerts and notifications of breaches
Interactive Dashboard Reporting
Full history and audit trail
Data quality built-in
Investment Compliance Monitoring Software Overview
We provide out-of-the box coverage of regulatory rules, industry sector rules and prospectus / mandate rules. Regulatory rule sets include UCITS rules as well as US 1940 Act, Canadian Mutual fund rules, Hong Kong, Singapore, Swiss rules and many other rules based on fund domicile.
Our comprehensive Investment Compliance Monitoring Software enables you to meet your post-trade compliance needs in accordance with the different regulatory requirements.
Our monitoring solution is being used by leading global asset managers, banks, management companies, fund administrators and custodians to automate their regulatory compliance through industry-leading cloud technology.
Key Benefits of Our Investment Compliance Monitoring Software
- Increased efficiency and accuracy of processes and results
- Automated production of Management Information across your business
- Full compliance with regulatory change
- Obtain instant analysis of compliance and risk across your portfolios
- Identify and resolve issues before they become breaches
- Tracking and notification of issues and resolution path
Investment Rules Training & Certification
Strengthen your team’s expertise in UCITS Investment Rules with our ATLAS Funds Training portal. Access bite-sized modules and workshops covering UCITS investment limits, borrowing rules, transferable securities, derivatives, and compliance workflows. Stay audit-ready and up to date as regulations evolve.
UCITS Investment Rules Compliance Monitoring
- Comprehensive derivatives functionality
- Liquidity monitoring
- Multi-jurisdiction coverage
- Coverage of repos. stock lending etc
- Full documentation and analysis of all rules
- Jurisdictional comparisons
- Leverage calculation
- Eligible Assets
Investment Compliance Monitoring Insights & News
Get in Touch to Learn More
Learn how our Investment Compliance Modules can transform your compliance processes. Whether you’re curious to learn more or ready to see them in action, we’re here to help. Fill out the form below, and a member of our team will be in touch to provide tailored insights or arrange a personalised demonstration.