Investment compliance monitoring solution with pre- and post-trade compliance checks, rule-based monitoring, automated alerts, breach management workflows, and detailed reporting. Supports multiple asset classes and regulatory frameworks.
Software that automatically checks portfolios against investment guidelines, restrictions, and regulatory limits to prevent breaches and ensure alignment with client mandates and fund prospectuses.
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Jurisdictional Rule Coverage Ability to configure and monitor rules for multiple regulatory jurisdictions (e.g., SEC, ESMA, MAS). |
Solution advertises configurable rule engine supporting global regulatory jurisdictions. | |
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Custom Rule Building Allows creation and customization of bespoke compliance rules in addition to standard regulatory rules. |
Promoted as having user-defined/custom investment compliance rules. | |
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Pre-built Regulatory Rule Library Availability of an out-of-the-box library of commonly required investment compliance rules. |
Clearly described library of pre-built investment compliance rules. | |
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Real-Time Rule Updates Frequency and automation level of updates for changes in regulations and market rules. |
No information available | |
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Prospectus and Mandate Rule Support Capability to handle both prospectus-stated and client-mandate-specific investment rules. |
Direct support for both prospectus and client mandate rules is listed in marketing material. | |
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Rule Versioning & Audit Trail Tracks changes to rules for audit and historical review purposes. |
Rule versioning and audit trail described as part of compliance history and reporting. | |
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Automated Rule Validation Automatic validation of rules before they are activated or applied. |
No information available | |
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Pre-Trade Rule Checking Checks rules before trade execution to prevent violations. |
Product page highlights pre-trade compliance checks. | |
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Post-Trade Rule Checking Performs compliance checks after trade execution for further assurance. |
Described as supporting post-trade compliance checks. | |
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Rule Dependency Management Manages rule hierarchies and dependencies (e.g., prioritizing fund-level over regulatory rules where applicable). |
No information available |
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Real-Time Monitoring Continuous analysis of portfolio and transaction data for instantaneous breach detection. |
Solution offers real-time monitoring and breach detection. | |
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Manual Surveillance Mode Allows user-initiated or scheduled compliance checks. |
No information available | |
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Automated Breach Detection Automated flagging of compliance violations as they occur. |
Automated alerts and breach detection are advertised as core function. | |
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Threshold Alerting Configurable thresholds for alerts prior to actual breaches. |
No information available | |
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Exception Management Dashboard Centralized dashboard for managing exceptions and investigating breaches. |
Breach and exception management dashboard mentioned in solution description. | |
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Intraday Monitoring Frequency Maximum frequency with which compliance checks can be carried out. |
No information available | |
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Automated Notification System Automated emails, dashboard notifications, and escalation procedures for breaches. |
Automated alerts/notifications for compliance breaches mentioned. | |
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Behavioral Surveillance Monitors patterns for unusual trading activity that may signal market abuse or insider activity. |
No information available | |
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Audit Trails An immutable and comprehensive log of monitoring activities and detected events. |
Comprehensive audit trail and monitoring records are described. | |
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Breaches Remediation Workflow Built-in processes and task assignments for resolving compliance breaches. |
Remediation workflow and task assignments are part of exception/breach management. |
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Portfolio Data Integration Ability to ingest and harmonize holdings data from multiple portfolio management systems. |
Integration with portfolio management systems mentioned. | |
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Market Data Feeds Integration Automatic connection with relevant market data providers for pricing, benchmarks, and corporate actions. |
No information available | |
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Reference Data Management Management of securities master, issuer, and counterparty reference data essential to rule checking. |
Securities and issuer reference data management mentioned for compliance rule checks. | |
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Trade/Transaction Data Ingestion Latency Time taken to reflect new trades/transactions in the system for compliance checking. |
No information available | |
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Data Quality Checks Automated verification of data consistency, completeness, and timeliness. |
Automated data quality checks referenced for compliance decisioning. | |
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Data Enrichment Capabilities System capabilities to supplement core data with additional attributes for compliance logic. |
No information available | |
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Manual Data Input Support Interface for uploading or entering ad hoc or exceptional data. |
No information available | |
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API Connectivity Availability of APIs for data ingestion and export. |
No information available | |
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Data Source Auditing Tracking origins and transformations of data used in compliance monitoring. |
No information available | |
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Data Retention Policy Management Configurable rules for historical data archiving and retention, in line with regulations. |
No information available |
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Intuitive User Interface Modern, easy-to-navigate interface for all core compliance tasks. |
FIS solutions are generally known for modern, intuitive interfaces; Investran Compliance documentation claims easy navigation. | |
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Role-Based Access Control Controlled access for different users (compliance officers, managers, auditors, etc.). |
Role-based access controls referenced in security features. | |
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Configurable Dashboards User-customizable dashboards for key compliance metrics and alerts. |
Customizable dashboards for alerts/metrics are described. | |
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Custom Report Builder Drag-and-drop or template-driven reports for compliance and management use. |
Ability to create custom management and compliance reports called out. | |
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Multi-Language Support Availability of the system in different languages for global teams. |
No information available | |
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Mobile Accessibility Availability of mobile interface or alerts for compliance oversight on the go. |
No information available | |
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User Preferences Personalization of system layout, notifications, and content. |
No information available | |
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Bulk Actions Support Ability to handle large-scale changes (e.g., rule updates, trade loads) efficiently. |
No information available | |
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Audit Log Accessibility Easy access for users to view a log of compliance activities and changes. |
No information available | |
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Error Handling & Guidance Clear system feedback and help for resolving issues/misconfigurations. |
No information available |
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Maximum Portfolio Capacity Total number of portfolios the system can monitor concurrently. |
No information available | |
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Compliance Check Speed Average time to complete a full compliance check on a portfolio. |
No information available | |
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User Concurrency Support for simultaneous users without system slowdowns. |
No information available | |
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System Uptime SLA Guaranteed availability metrics for the service. |
No information available | |
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Load Balancing Support Built-in mechanisms for distributing workload automatically. |
No information available | |
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Response Time under Peak Load System performance metrics during periods of highest demand. |
No information available | |
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Batch Processing Capabilities Ability to process compliance checks in bulk or overnight batches. |
Describes ability to process compliance checks in bulk batches. | |
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Dynamic Resource Scaling Cloud-native elasticity to scale infrastructure in real-time as demand increases. |
No information available | |
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High Availability Architecture Redundancy and failover for mission-critical compliance operations. |
High uptime and resilience described as features for mission-critical operations. | |
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Geographical Redundancy Disaster recovery and continuity planning via multi-region support. |
No information available |
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Regulatory Reporting Templates Prebuilt formats for common regulatory submissions (e.g., Form N-PORT, UCITS KIID). |
Standard regulatory submission templates advertised (e.g. Form N-PORT, UCITS KIID). | |
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Ad-hoc Reporting Ability to generate and customize reports on demand. |
Ad-hoc report creation is explicitly available in the product overview. | |
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Breach Trend Analysis Analytics on breach frequency, causes, and trends over time. |
Breach analytics, trend analysis, and historical dashboards described. | |
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Exception Heatmaps Visual summary of where and when compliance issues occur. |
No information available | |
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Export to Multiple Formats Download and share reports in PDF, Excel, CSV, and more. |
Exporting reports to PDF/Excel described under reporting features. | |
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Drill-Down Capabilities Interactive reports to explore data down to trade or rule level. |
Drillable reports and interactive dashboards described. | |
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Customizable Periodic Reports Schedule daily, weekly, or monthly automated reports. |
Automated and scheduled reporting supported. | |
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User Activity Audit Reports Track and report on compliance user actions for surveillance and governance. |
Audit/user activity reporting referenced under compliance and audit features. | |
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Compliance Breach Archiving Secure and compliant storage of historical breach investigations. |
Breach record archival referenced in workflows and reporting. | |
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Time to Generate Standard Report Average time to compile a standard compliance report. |
No information available |
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Multi-Factor Authentication Enhanced login security with additional verification layers. |
Described as offering multi-factor authentication as part of security. | |
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Single Sign-On Integration Supports SSO via LDAP, SAML, or cloud identity providers. |
Single sign-on and identity provider integrations referenced in documentation. | |
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Granular Permissions Model Fine-tuned access rights by user role or group. |
Graded/role-based access and fine-tuned permissions explicitly described. | |
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Encryption at Rest Data is encrypted when stored in system databases. |
Encryption at rest referenced under IT security requirements. | |
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Encryption in Transit Data is encrypted while moving between systems. |
Encryption in transit (TLS) referenced as standard for sensitive financial data. | |
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Automated Session Timeout Automatic logout after user inactivity to prevent unauthorized access. |
Automated session timeouts described as a feature for enhanced security. | |
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Data Masking Sensitive client or trade data is masked for certain users. |
No information available | |
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Audit Logging of Access Logging every login, administrative action, and data access. |
Audit logging of all access events described in platform documentation. | |
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Access Review Tools Periodic checks and attestation for user access rights. |
No information available | |
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GDPR/Local Data Privacy Compliance Data handling methodologies ensure compliance with privacy laws. |
Compliant with GDPR and local privacy regulations as stated in data policy. |
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Order Management System Integration Seamless connection for trade feeds and order data ingestion. |
Explicitly references integration with OMS/trade order feed systems. | |
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Portfolio Accounting System Integration Ability to fetch positions, valuations, and transaction records. |
Integration with portfolio accounting/valuation systems mentioned. | |
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Data Warehouse or BI Platform Integration Support for exporting compliance data to analytics or data warehouse environments. |
No information available | |
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Regulatory Submission Platform Integration Automated submission to electronic regulator portals. |
No information available | |
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API for 3rd Party Integration Comprehensive, documented APIs for all major functions. |
API-driven and supports 3rd-party system integration for most key functions. | |
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File Import/Export (CSV, XML, JSON) Supports bulk and scheduled file exchanges for legacy integration. |
Bulk import/export in formats including CSV and XML referenced. | |
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Webhook/Real-Time Notification Integration Supports push notifications to other systems when key compliance events occur. |
No information available | |
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Reference Data Vendor Integration Plug-and-play integration to leading securities/reference data vendors. |
No information available | |
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Active Directory/LDAP Compatibility Supports directory services for enterprise user management. |
No information available | |
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Cloud-to-Cloud Integration Support Deploys and connects easily within cloud-centric infrastructures. |
Supports deployment in major public clouds and hybrid environments. |
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24/7 Technical Support Availability of support staff outside normal business hours. |
24/7 technical support available from FIS Global. | |
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Dedicated Account Manager Assigned resource for ongoing relationship and escalation. |
Dedicated account management described in client services information. | |
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Onboarding & Implementation Assistance Services for setup, migration, and initial training. |
Onboarding & implementation help promoted as part of customer journey. | |
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SLAs for Issue Resolution Contractual commitments around response and resolution times. |
No information available | |
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Product Training & Documentation Availability of up-to-date user manuals, how-to guides, and training sessions. |
Comprehensive training and user documentation available. | |
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User Community & Forums Active knowledge exchange platforms and peer learning. |
No information available | |
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Incident Communication Protocols Clear and prompt updates from vendor for high-impact incidents. |
No information available | |
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Proactive Product Roadmap Updates Regular communications about new features and upgrades. |
FIS provides regular roadmap updates to clients as a vendor standard. | |
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Custom Development/Enhancement Services Ability to commission bespoke features or integrations. |
Bespoke development/integration is a standard part of FIS enterprise solutions. | |
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Online Ticketing & Self-Service Portal Web interface for issue logging and tracking resolutions. |
FIS provides online service/ticketing portal for issue tracking and resolution. |
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Transparent Pricing Model Upfront disclosure of all costs (licenses, users, data, support, upgrades). |
Transparent pricing described in engagement process. | |
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Flexible Licensing Options for subscription, perpetual, or usage-based licenses. |
Multiple license and deployment models noted on product site. | |
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Pay-As-You-Go Option Pricing available based on actual portfolios or usage. |
No information available | |
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Multi-Tenancy Support Bulk pricing for organizations with multiple business units or geographies. |
Multi-tenant hosting and support for multiple business units referenced for large enterprise clients. | |
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Cloud Deployment Option Available as SaaS or in major public clouds. |
Primary deployment approach is SaaS/public cloud as well as other models. | |
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On-Premises Deployment Option Option for local installation in client data centers. |
On-premises deployment supported for enterprise. | |
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Hybrid Cloud Option Combining on-premises and cloud for greater flexibility. |
Both hybrid and cloud deployment options are described. | |
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Trial/Evaluation License Risk-free evaluation period for testing and analysis. |
Trial/evaluation license available for institutional prospects. | |
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Cost Scalability Ability for pricing to scale up or down as team or portfolio numbers grow/shrink. |
Pricing model is described as scalable for number of portfolios or users. | |
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No Hidden Fees Assurance that all major costs are disclosed; no unplanned upcharges. |
No hidden fees/invoice transparency is referenced in sales collateral. |
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