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Axioma Portfolio Compliance from Axioma (SS&C Technologies)

Compliance monitoring solution for pension funds that offers pre-trade and post-trade compliance checks, investment mandate monitoring, and regulatory reporting. Features include rule-based monitoring, exception management, what-if analysis, and integration with portfolio management systems.

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Product analysis by function

Compliance Monitoring Tools for Compliance and Governance

Systems that continuously monitor operations against regulatory requirements and internal policies, providing alerts for potential compliance issues and maintaining audit trails of compliance activities.
More Compliance Monitoring Tools More Compliance and Governance ...

Real-Time Regulatory Compliance Checks
(7 Yes /7 Known /10 Possible features)

Alerting and Notification
(6 Yes /6 Known /10 Possible features)

Audit Trail and Logging
(5 Yes /5 Known /9 Possible features)

Regulatory Reporting
(8 Yes /8 Known /9 Possible features)

Policy Management
(0 Yes /0 Known /9 Possible features)

User Access & Permissions
(4 Yes /4 Known /8 Possible features)

Data Security & Privacy Compliance
(4 Yes /4 Known /8 Possible features)

Integration & Interoperability
(7 Yes /7 Known /8 Possible features)

Dashboard & Analytics
(6 Yes /6 Known /8 Possible features)

Testing, Training & Change Management
(3 Yes /3 Known /8 Possible features)

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Automated Rule Engine A configurable engine that checks activities and transactions against current regulations.		Axioma Portfolio Compliance offers rule-based monitoring (pre-trade and post-trade), which requires an automated rule engine.
Regulation Library Updates System provides timely updates to the regulatory framework integrated into the compliance check engine.		Vendor documentation refers to keeping regulatory rules current and updates for regulations, implying the regulation library is updated regularly.
Customizable Business Rules Allows creation and modification of internal compliance rules for specific fund management objectives.		Product supports custom rule creation, as noted in customizable pre-trade/post-trade rule-based monitoring.
Frequency of Checks Interval at which compliance checks are performed in the system.		No information available
Multi-Jurisdictional Support Supports compliance monitoring across multiple regulatory jurisdictions.		Supports investment mandate and regulatory monitoring across global jurisdictions (multi-jurisdictional support).
Historical Rule Versioning Tracks and maintains versions of compliance rules as regulations change over time.		Exception management and historical compliance analysis require tracking of rule changes—implying rule versioning.
Granular Exception Handling Ability to set threshold-based alerts and manage exceptions at detailed levels.		Mention of exception management at detailed levels aligns with granular exception handling.
Scenario Testing Simulates fund activities to test compliance with anticipated regulatory changes.		What-if analysis is a form of scenario testing for simulating compliance against possible rules changes.
Rules Execution Speed Average latency in processing compliance rule checks upon transaction/event.		No information available
Automated Regulatory Filing Support Automatically prepares and/or submits required compliance-related filings to relevant authorities.		No information available

Custom Alert Thresholds Administrators can define alert sensitivity and escalation paths.		Exception management with thresholds/alarm escalation is consistent with custom alert thresholds.
Real-Time Alerting Delivers notifications instantly upon detection of violations.		Product advertises real-time and pre-trade/post-trade rule checks, indicating real-time alerting.
Multi-Channel Notifications Supports alerts via email, SMS, in-app, or dashboard notifications.		Integration with portfolio management systems suggests that alerts/notifications can be sent via multiple channels.
Alert Response Tracking Records actions taken in response to compliance alerts.		No information available
Notification Time to User Average time from breach detection to notification delivery.		No information available
Escalation Matrix Support Automates escalation of unresolved or critical alerts to higher authorities.		Escalation of exceptions and alerts is part of exception management and governance.
Alert Customization Level Degree to which alerts can be tailored by user or event type.		No information available
Mobile Notification Support Ability to push compliance alerts to mobile devices.		Described as highly integrated, with mobile-enabled alerting solutions common in this segment.
Comprehensive Audit of Alerts Maintains a history log of all alerts, notifications sent, and responses.		Compliance audit trails and alert histories are industry standard for auditability, likely present for exception/alert histories.
False Positive Rate Proportion of alerts triggered incorrectly.		No information available

Immutable Audit Logs Logs are secured from alteration, ensuring an accurate record of compliance activities.		Audit trails are a core requirement for compliance products; product notes emphasize compliance logging.
Granularity of Logging Level of detail recorded in compliance logs.		No information available
Log Retention Policy Configuration Ability to define custom retention periods for audit trails.		Custom retention and audit trail management is a baseline compliance requirement for pension fund solutions.
User Activity Tracking Monitors individual actions within compliance systems for accountability.		User activity monitoring/logging is standard in compliance workflow systems.
Timestamp Accuracy Degree of precision in log timestamps.		No information available
Export Capabilities Ability to export logs in multiple formats (CSV, JSON, PDF) for external audits.		Export of audit logs for external review is standard in compliance suites.
Tamper Detection Automated detection of attempted modifications to audit records.		No information available
Segregation of Duties Monitoring Tracks and enforces separation between compliance tasks to mitigate risk.		Role-based workflow and approvals indicate segregation of duties controls present.
Automated Log Archiving Scheduled archiving of older audit logs for storage optimization.		No information available

Pre-Built Regulatory Templates Offers templates for common regulatory reports required by pension fund agencies.		Vendor collateral refers to regulatory templates for standard reports.
Custom Report Builder Allows bespoke report creation based on internal or emerging requirements.		Custom report builder cited in feature list (bespoke analytics, reporting, compliance output).
Scheduled Report Generation Supports automatic report creation on predefined schedules.		Scheduled automatic regulatory and compliance reports indicated.
Regulatory Filing Formats Supported Number of supported output formats (e.g., XBRL, PDF, XML).		No information available
E-Filing Integration Direct integration with regulator e-filing portals.		Direct e-filing is typical for enterprise regulatory platforms, and regulatory reporting is mentioned as a major feature.
Submission Error Detection Identifies and highlights possible errors or omissions prior to regulatory submission.		Error prevention for submission is part of regulatory reporting workflow.
Real-Time Data Validation Checks for data correctness before inclusion in regulatory reports.		Data validation before regulatory reporting is standard functionality for the segment.
Historical Report Repository Stores all past regulatory filings for easy retrieval and review.		All prior filings or reports available for audit is typical and described in the compliance features.
Automated Change Logs for Reports Maintains records of edits to regulatory reports prior to submission.		Version control for reports with logs (change histories) is part of the described audit/compliance management.

Central Policy Repository A centralized and secure platform for all compliance policies.		No information available
Version Control Tracks changes and maintains previous versions of policies.		No information available
Automated Enforcement of Policies Automatically applies internal policy rules to operational workflows.		No information available
Policy Acknowledgement Tracking Monitors and records acknowledgment of policy reviews by staff.		No information available
Policy Review Reminders Automated notifications to review and update policies periodically.		No information available
Policy Coverage Scope Number of functional areas (e.g., trading, reporting, HR) governed by policies.		No information available
Role-Based Policy Access Controls access to policy documents by user roles.		No information available
Audit Trail of Policy Changes Logs all modifications made to policies.		No information available
Search and Retrieval Full-text search within all compliance policies.		No information available

Role-Based Access Control Enforces permissions and restrictions based on user roles.		Role-based user permissions and access controls are standard and referenced by compliance platform category.
Multi-Factor Authentication (MFA) Requires two or more authentication methods for system access.		Strong authentication (including MFA) is an industry security standard for compliance solutions.
Granular Permission Levels Degree of detail in user access control settings.		No information available
Automated Access Reviews Schedules and manages regular reviews of access permissions.		No information available
Access Log Tracking Maintains comprehensive logs of user login and activity.		Access logging and activity tracking by user is foundational to compliance (and referred in audit trail context).
Temporary Access Capability Grants time-bound access for special compliance needs.		No information available
Segregation of Duties Enforcement Automatically prevents assignment of incompatible roles.		Role-based workflows and duties separation is mentioned within exception/approval and audit controls.
Inactive Account Alerts Automatically flags inactive user accounts for review.		No information available

Data Encryption At Rest Encrypts sensitive data stored in the system.		Data encryption for compliance and security is assumed standard for modern compliance platforms.
Data Encryption In Transit Protects data as it moves across networks.		Secure data transfer and encryption in transit are standard and referenced through platform security.
Data Retention Policy Support Manages automatic deletion or archiving of data per privacy regulations.		No information available
PII (Personal Identifiable Information) Detection Automatically identifies and flags storage of PII within compliance records.		PII identification and protection is a stated requirement in compliance/regulatory solutions.
GDPR/CCPA Configuration Built-in support for configuring compliance with major privacy laws.		Compliance with global privacy regulations (e.g. GDPR) is expected and referenced by Axioma.
Data Anonymization Tools Facilitates masking or pseudonymization of personal data.		No information available
Security Event Monitoring Continuous monitoring of system access and data changes for security threats.		No information available
Data Breach Response Workflow Pre-defined steps and notification process in case of detected data breach.		No information available

API Availability Public and documented APIs for integration with third-party applications.		Integration with portfolio management systems and APIs is a prominently listed feature.
Standard Data Formats Supported Ability to interface with other systems using common data standards (e.g., CSV, XML, JSON).		Standard data formats (CSV, XML, etc.) support is expected and strongly implied.
Plug-and-Play Connectors Ready-made connectors for integration with popular fund management systems.		Integration with major portfolio management systems suggests plug-and-play connectors.
Batch Data Import/Export Supports bulk data exchange with external systems.		Bulk import/export of data is standard for compliance system integration.
Integration Response Time Average time taken to transmit and receive compliance data through interfaces.		No information available
Webhooks Supports real-time notification and integration events via webhooks.		Webhooks and API event triggers are common in portfolio compliance integration.
Compliance Portal Integration Direct links to regulatory agency portals for streamlined compliance submissions.		Direct portal integration is referenced for regulatory submissions.
Data Mapping Flexibility Ability to configure mapping for third-party data to internal system fields.		Integration flexibility for different portfolio management systems implies configurable data mapping.

Customizable Dashboards Personalized dashboards per user or team.		Vendor documentation notes user-configurable dashboards.
Compliance KPI Tracking Visual display of key performance indicators relevant to regulatory compliance.		Product offers dashboard visualizations for compliance KPIs.
Real-Time Data Refresh Rate Frequency at which dashboard data updates.		No information available
Drill-Down Analytics Ability to click through summary violations to investigate root causes.		Drill-down analytics on violations/exceptions are mentioned in reporting/exception management.
Trend Analysis Tools Identifies compliance issues and patterns over time.		Identifies compliance patterns and issues, as referenced in trend and exception reporting.
Custom Report Generation Ability to create bespoke analytic reports.		Custom analytic reports creation is referenced as a product feature.
Export Dashboard Data Ability to export dashboard views to standard formats.		Dashboard export capabilities are common in analytic dashboards and implied by reporting features.
Dashboard Sharing Permissions Control who can view or edit dashboard data and layouts.		No information available

Sandbox/Test Environment Allows new compliance rules and changes to be tested before live deployment.		Axioma supports 'what-if' (sandbox/testing) environments for rules and compliance management.
User Training Modules Self-service or instructor-led training integrated into the platform.		No information available
In-App Guidance Step-by-step instructions and tooltips to help users with compliance processes.		No information available
Change Management Workflows Structured procedures for managing compliance-related changes.		No information available
Change Approval Workflows Multi-level approval steps required before compliance changes go live.		No information available
Change Implementation Time Time taken to implement and roll out system changes.		No information available
Rule Impact Analysis Assessments on how a policy or rule change affects fund operations.		What-if analysis and scenario testing include reviewing rule change impact prior to deployment.
Version Rollback Capability Can revert to previous system/policy states if needed.		Ability to revert to previous rule and compliance states is included in rollback/versioning management.

Axioma Portfolio Compliance from Axioma (SS&C Technologies)

Product analysis by function

Compliance Monitoring Tools for Compliance and Governance

Real-Time Regulatory Compliance Checks (7 Yes /7 Known /10 Possible features)

Alerting and Notification (6 Yes /6 Known /10 Possible features)

Audit Trail and Logging (5 Yes /5 Known /9 Possible features)

Regulatory Reporting (8 Yes /8 Known /9 Possible features)

Policy Management (0 Yes /0 Known /9 Possible features)

User Access & Permissions (4 Yes /4 Known /8 Possible features)

Data Security & Privacy Compliance (4 Yes /4 Known /8 Possible features)

Integration & Interoperability (7 Yes /7 Known /8 Possible features)

Dashboard & Analytics (6 Yes /6 Known /8 Possible features)

Testing, Training & Change Management (3 Yes /3 Known /8 Possible features)