Enhances investment compliance monitoring through real-time analytics, workflow management, and automated reporting. Provides tools for managing and visualizing compliance-related data.
Software that automatically checks portfolios against investment guidelines, restrictions, and regulatory limits to prevent breaches and ensure alignment with client mandates and fund prospectuses.
More Investment Compliance Monitoring
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Jurisdictional Rule Coverage Ability to configure and monitor rules for multiple regulatory jurisdictions (e.g., SEC, ESMA, MAS). |
The Regnology Compliance Software advertises multi-jurisdictional regulatory coverage, supporting rules from various authorities such as SEC and ESMA on its product page. | |
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Custom Rule Building Allows creation and customization of bespoke compliance rules in addition to standard regulatory rules. |
The platform allows creation and customization of bespoke compliance rules, explicitly referenced as custom rule engines in marketing materials. | |
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Pre-built Regulatory Rule Library Availability of an out-of-the-box library of commonly required investment compliance rules. |
The product ships with pre-built libraries of regulatory rules for common global jurisdictions, as cited in the feature overview. | |
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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. |
Marketing documentation specifically calls out support for both prospectus-stated and client-mandate investment rules. | |
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Rule Versioning & Audit Trail Tracks changes to rules for audit and historical review purposes. |
Website states the software tracks rule changes and provides audit/versioning for compliance and regulatory purposes. | |
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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. |
Pre-trade compliance checks are promoted as a core feature for preventing violations at the order stage. | |
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Post-Trade Rule Checking Performs compliance checks after trade execution for further assurance. |
The system performs both pre- and post-trade rule checks, confirmed in solution briefings. | |
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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. |
Real-time surveillance and breach detection cited as a differentiator of the Regnology Compliance platform. | |
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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, real-time detection of rule violations presented as a key function of the solution. | |
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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. |
No information available | |
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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. |
Product material notes automated notification and escalation for compliance incidents. | |
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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. |
Complete audit trail functionality is referenced under product data sheets as essential for compliance oversight. | |
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Breaches Remediation Workflow Built-in processes and task assignments for resolving compliance breaches. |
Documentation mentions integrated workflows for breach remediation and compliance management. |
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Portfolio Data Integration Ability to ingest and harmonize holdings data from multiple portfolio management systems. |
Supports ingestion of positions and holdings from multiple external portfolio management systems. | |
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Market Data Feeds Integration Automatic connection with relevant market data providers for pricing, benchmarks, and corporate actions. |
Market data feed integration and automatic import of pricing/benchmarks mentioned in technical features. | |
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Reference Data Management Management of securities master, issuer, and counterparty reference data essential to rule checking. |
The platform manages securities, issuer, and counterparty reference data for compliance analysis. | |
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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. |
System includes automated data quality and consistency checks, as discussed under data management functionality. | |
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Data Enrichment Capabilities System capabilities to supplement core data with additional attributes for compliance logic. |
Data enrichment for compliance rule logic described in product technical literature. | |
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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. |
API connectivity for data ingestion/export is highlighted as a critical integration feature. | |
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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. |
Data retention rules, archiving, and historic retrieval referenced in product documentation. |
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Intuitive User Interface Modern, easy-to-navigate interface for all core compliance tasks. |
Modern UI and advanced visualization mentioned as product strengths. | |
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Role-Based Access Control Controlled access for different users (compliance officers, managers, auditors, etc.). |
Role-based access control referenced under security and administration features. | |
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Configurable Dashboards User-customizable dashboards for key compliance metrics and alerts. |
Configurable dashboards for compliance metrics are detailed in UI overviews. | |
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Custom Report Builder Drag-and-drop or template-driven reports for compliance and management use. |
Report builder and customizable report templates are referenced as reporting features. | |
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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. |
Users can set notification preferences for compliance events and dashboards, as per product settings examples. | |
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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. |
Users can view and search audit logs as outlined in compliance review workflows. | |
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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. |
No information available | |
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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. |
No information available | |
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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). |
Regulatory reporting templates are included, such as UCITS and AIFMD reports, according to product datasheets. | |
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Ad-hoc Reporting Ability to generate and customize reports on demand. |
Ad-hoc report generation is identified under reporting functionality. | |
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Breach Trend Analysis Analytics on breach frequency, causes, and trends over time. |
Breach trend analytics and historical report archives are highlighted as included analytics capabilities. | |
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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. |
Export to PDF, Excel, and other formats is listed on the reporting overview. | |
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Drill-Down Capabilities Interactive reports to explore data down to trade or rule level. |
Drill-down analytics and granular compliance issue navigation are referenced in product demos. | |
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Customizable Periodic Reports Schedule daily, weekly, or monthly automated reports. |
Support for automated periodic reporting confirmed in user guide. | |
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User Activity Audit Reports Track and report on compliance user actions for surveillance and governance. |
Audit trail and user activity reporting available for governance and control. | |
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Compliance Breach Archiving Secure and compliant storage of historical breach investigations. |
Archived breach history and investigation notes are available for regulatory review. | |
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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. |
Multi-factor authentication available as part of enterprise security. | |
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Single Sign-On Integration Supports SSO via LDAP, SAML, or cloud identity providers. |
SSO via cloud identity providers and SAML supported, as described in integration section. | |
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Granular Permissions Model Fine-tuned access rights by user role or group. |
Granular permission assignment for access control covered in security documentation. | |
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Encryption at Rest Data is encrypted when stored in system databases. |
Data at rest is encrypted, referenced under security/IT controls. | |
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Encryption in Transit Data is encrypted while moving between systems. |
Encryption in transit (TLS/SSL) advertised as standard in IT architecture. | |
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Automated Session Timeout Automatic logout after user inactivity to prevent unauthorized access. |
No information available | |
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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 administrative actions and data access is an explicit feature. | |
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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. |
GDPR and global privacy regulations are referenced in compliance statements. |
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Order Management System Integration Seamless connection for trade feeds and order data ingestion. |
Integration with OMS for order/trade ingestion is a supported workflow. | |
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Portfolio Accounting System Integration Ability to fetch positions, valuations, and transaction records. |
Portfolio accounting system data integration supported. | |
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Data Warehouse or BI Platform Integration Support for exporting compliance data to analytics or data warehouse environments. |
API/data warehouse integration (e.g., for BI tools) is possible via export options. | |
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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. |
3rd party system integration supported via RESTful APIs. | |
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File Import/Export (CSV, XML, JSON) Supports bulk and scheduled file exchanges for legacy integration. |
File import/export in standard formats (CSV, XML, JSON) described in data interface section. | |
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Webhook/Real-Time Notification Integration Supports push notifications to other systems when key compliance events occur. |
Webhook and push notification integration for compliance events mentioned among system integration features. | |
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Reference Data Vendor Integration Plug-and-play integration to leading securities/reference data vendors. |
Integration to reference data vendors supported in listed 3rd party partnerships. | |
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Active Directory/LDAP Compatibility Supports directory services for enterprise user management. |
Active Directory/LDAP integration support referenced for user authentication. | |
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Cloud-to-Cloud Integration Support Deploys and connects easily within cloud-centric infrastructures. |
Cloud-native design enables rapid deployment and native cloud integrations. |
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24/7 Technical Support Availability of support staff outside normal business hours. |
No information available | |
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Dedicated Account Manager Assigned resource for ongoing relationship and escalation. |
No information available | |
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Onboarding & Implementation Assistance Services for setup, migration, and initial training. |
No information available | |
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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. |
Product documentation, how-to guides, and training material are provided as part of customer onboarding. | |
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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. |
No information available | |
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Custom Development/Enhancement Services Ability to commission bespoke features or integrations. |
No information available | |
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Online Ticketing & Self-Service Portal Web interface for issue logging and tracking resolutions. |
No information available |
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Transparent Pricing Model Upfront disclosure of all costs (licenses, users, data, support, upgrades). |
No information available | |
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Flexible Licensing Options for subscription, perpetual, or usage-based licenses. |
No information available | |
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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. |
No information available | |
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Cloud Deployment Option Available as SaaS or in major public clouds. |
SaaS/cloud deployment is specifically highlighted in product delivery options. | |
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On-Premises Deployment Option Option for local installation in client data centers. |
No information available | |
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Hybrid Cloud Option Combining on-premises and cloud for greater flexibility. |
No information available | |
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Trial/Evaluation License Risk-free evaluation period for testing and analysis. |
Trial/evaluation licenses available as per vendor sales information. | |
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Cost Scalability Ability for pricing to scale up or down as team or portfolio numbers grow/shrink. |
No information available | |
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No Hidden Fees Assurance that all major costs are disclosed; no unplanned upcharges. |
No information available |
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