Compliance – Buy-side Perspective

Ensuring full adherence to company compliance policies

Natively integrated within VALUE front to back platform, Sophis' compliance management system enables users to monitor de-centralised, cross asset portfolios ensuring the investment company compliance program is effectively delivered and that it successfully resolves warning and breaches. Advanced reporting supports tailor made historical monitoring which provides consolidated, un-filtered information on clients' and the company's exposure compliance and risk limits.

The alert workflow function can include multiple levels of criticality and enables compliance officers to design a comprehensive and transparent programme to recognise, monitor and mitigate compliance risks at both a business unit level and across the business. Rule-based administration allows the efficient management of enterprise wide compliance. Rule definition itself is comprehensive and flexible and can cover both regulatory and internal compliance requirements.

Key Benefits

• Integrated engine in a portfolio and risk management solution using the same security master
• Global and specific country rule packages delivered with the application
• All risk indicators such as sensitivities and VaR can be used to define limits for market and credit risk at any portfolio level (transaction, position, fund)
• On demand and scheduled compliance session management on customisable parameters
• Compliance rules can be defined easily through editable sentences
• User friendly rule builder and flexible rule management through portfolio groups and rule set administration
• Full audit trail supports the effective monitoring of compliance programs and tracking down the sequence of events that led to a situation
• Alert workflow enables a wide range of ways to manage breaches: e-mail notification, alert escalation, snooze of alert
• Standard and customisable reporting: wide range of detailed compliance session reports and historical reporting of compliance limit evolutions

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