Explore how we can strengthen your investment compliance program

Adhering to investment guidelines and federal laws mandates a robust monitoring framework

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The investment guidelines stated in a prospectus or client instructions should ideally match the client’s portfolio at any given point in time. Hence the funds have to be constrained to comply with federal regulations and the fund's investment guidelines rigorously and resolve any exceptions. Here is where Acuity Knowledge Partners' expertise in investment compliance comes in

BENEFITS AND IMPACT

Systematic monitoring program to demonstrate to regulators

Organized rule library

Standardized rule templates

Reduction in false violations

Providing additional bandwidth to the client’s team

Investment Compliance Solutions Suite

Guideline coding

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Guideline coding

  • Analyzing and interpreting the guidelines

  • Setting up new rules in the rule library

  • Amending existing rules as per changes to investment guidelines

  • Auditing the existing rules

  • Testing of new and existing rules coded in the rule library

Pre & Post-trade monitoring

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Pre & Post-trade monitoring

  • Pre-trade testing to ensure the trades to be executed adheres to investment guidelines

  • Post-trade testing to ensure no slippage in the trades executed

  • Root cause analysis of investment guideline violations

  • Reporting of all violations to the management and the regulators (if required)

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