Investment Compliance Monitoring Software
Streamline post-trade investment restriction monitoring with a highly automated, easily accessible solution, whether you’re managing one portfolio or a thousand.
The Challenge: Manual Monitoring Across Rules, Mandates and Jurisdictions
Asset Managers and Depositaries must monitor an increasingly complex array of regulatory rule sets, alongside prospectus limits, investment mandate agreements, industry sector classifications, sanctions, ESG criteria, and more. Robust systems and controls are essential to ensure portfolios remain in continuous compliance.
The Solution: A Configurable Investment Compliance Rules Engine
Our investment compliance monitoring platform unifies rule-checking, exception monitoring, and risk oversight into a single, configurable system. With over 2,000 pre-built regulatory, mandate, and prospectus rules (all maintained for jurisdictional accuracy), you can instantly strengthen compliance while reducing operational strain. All functionality is available out of the box.
This includes robust capabilities for multi-manager portfolios, share class hedging, look-through, illiquid assets, complex derivative strategies, and efficient portfolio management techniques such as stock lending and collateral monitoring.
Key Capabilities
Pre-Built Regulatory and Mandate Rule Libraries
Use 2,000+ pre-built regulatory, mandate and prospectus rules, with flexibility to configure firm-specific controls.
Liquidity, Leverage and Counterparty Monitoring
Track liquidity thresholds, leverage exposure, counterparty limits and other portfolio-level risk indicators.
Scalable Automation Across Portfolios
Automate monitoring from data receipt through to exception handling, reporting and governance review.
Jurisdictional Coverage Plug & Play
Manage multiple domiciles with dynamic rule-set application from one interface.
Workflows & AI Resolution Pathways
Automated breach alerts. Exceptions management workflow with integrated escalation tracking.
Built-In Data Validation and Governance
Strengthen confidence in monitoring outputs with validation, reconciliation and data integrity checks before rule execution.
Designed for Complex Fund Structures
Galaxy supports multi-manager portfolios, share class hedging, illiquid assets, alternative strategies, derivatives and cross-jurisdiction fund structures.
Find Out More
Download our Investment Compliance Brochure to explore how our solutions can help you streamline oversight, reduce regulatory risk, and stay ahead of evolving compliance requirements.
The Impact: Measurable Risk
Reduction & Operational Efficiency
Operational Efficiency
Automate manual checks and reporting, freeing resources for higher-value work.
Avoid Penalties & Breaches
Stay ahead of evolving regulatory demands.
Do More
Extend monitoring to mandates, sector classifications, sanctions and screening.
Why Choose Funds-Axis for Investment Compliance Monitoring?
Take control of your compliance infrastructure with a flexible solution designed for today’s complex regulatory environment.
Easy Onboarding
Through data integrations with virtually all administrators, data-as-a-service capabilities, and pre-configured rule sets, we provide comprehensive, out-of-the-box investment compliance monitoring and regulatory reporting solutions, eliminating the need for complex and high-risk projects.
Regulatory Expertise
Our strength lies in our deep regulatory expertise. This is demonstrated by our pre-configured rule sets, the breadth of embedded regulatory content, and comprehensive sandbox testing and documentation across all rules.
Future-ready
Robust capabilities for alternative multi-manager portfolios, share class hedging, look-through, illiquid assets, complex derivative strategies, and efficient portfolio management techniques such as stock lending and collateral management.
End-to-end visibility
Comprehensive reporting and full transparency. Every check, breach, and resolution is logged for complete traceability, ensuring you’re always inspection-ready.
Flexible Support Model
Activate or deactivate our managed services according to your needs. Benefit from our expertise in operating the system for clients on a daily basis.
What Our Clients Say
Investment Compliance Monitoring Insights & News
Stay informed with expert updates, regulatory analysis, and best practices.
See Compliance Monitoring in Action: A Guided Platform Walkthrough
See first-hand how Galaxy helps asset managers, Platform ManCos, depositaries and fund administrators automate post-trade investment compliance monitoring, from mandate and prospectus rules to regulatory limits, exception management and audit-ready evidence.
Share a few details and we’ll provide a tailored walkthrough focused on the rules, workflows and controls most relevant to your portfolios, jurisdictions and operating model.
Let’s Take the Stress Out of Compliance
Take control with automated rule monitoring, ongoing insights, and audit-ready reporting, built for global regulatory demands.
