Effective compliance solutions for limits management
The ever increasing organisational complexity and growing use of derivatives means that the design and delivery of an effective compliance program has become a critical challenge. Sophis VALUE's pre-trade compliance module enables portfolio managers to oversee trading impact with speed, confidence and transparency over the most complex asset classes. Integrated within the VALUE front to back platform, pre-trade compliance functionality enables an audited validation of order sessions with respect to rules and limits as defined by the regulators, investors or an internal risk policy. The flexible administration and audited alert management within the module enables users to implement an upstream governance and supervisory framework for risk and compliance management.
Key Benefits
- Integrated engine in a portfolio and risk management solution using the same security master
- Pre-trade compliance capability available within the same system providing order management, allocation and position keeping functionality
- Detailed reporting for pre-trade breach explanation
- Global and specific country rule packages delivered within the application
- Configurable trading permission depending on user profile
- Audited alerts management: customisable alert levels from rule warnings and limits, configurable alert workflow to match internal compliance program
- Limit breaches workflow management with audit trail
Learn more about our asset class coverage
| "There has been a great sense of professionalism in their approach and in the service they have provided to 1798. Sophis was able to offer the seamless integration of VALUE with our existing infrastructure"
Stephen Grobman, Chief Risk Officer of Lombard Odier Asset Management |
| Anthos Asset Management upgrades its fund management activity to a centralised front-to-back system with Sophis VALUE |
