Investment Compliance support & services - trade monitoring & surveillance

Investment Compliance Services

Leveraging technology and domain expertise to enhance the capabilities of the investment compliance function and enable teams to manage reputational and financial risk

Investment Compliance Services

Acuity Knowledge Partners’ (Acuity’s) Investment compliance support across pre- and post-trade monitoring, guideline interpretation and coding has enabled Investment compliance functions to do more with less. We help our clients protect themselves against reputational and financial risk because of guideline breaches and regulatory misses.

We enable our clients to manage increasing demands on their teams by providing customized managed services solutions that deliver operational efficiency, and significant cost savings.

Our team of experts have a unique combination of skill sets, they are tool agnostic and have extensive experience in order management/compliance systems such as Bloomberg AIM, Ion’s (LZ) Sentinel, Charles River Database (CRIMS), ThinkFolio and BlackRock’s Aladdin. They also bring deep domain understanding of Investment compliance monitoring functions and knowledge of global regulations such as the Investment Company Act of 1940, UCITS, Inv-G, ERISA, FINRA, the Securities Act of 1933, SFC, MPFA, FSA and APRA.

Who we serve

Investment Compliance Services Support we offer

Investment Compliance Services Support we offer

How we are different

Experience
Experience

We implement industry best practices for pre- and post-trade monitoring, rule testing and documentation to create an efficient and robust process framework, ensuring a flawless and sustainable compliance culture.

Systems expertise
Systems expertise

We are tool-agnostic and are experienced in compliance systems such as Sentinel, Charles River Development, IMS, Bloomberg AIM (CMGR and VMGR) and BlackRock‘s Aladdin Compliance Bench.

Technology-driven solutions
Technology-driven solutions

We have tools to help digitise investment guideline rule extraction, rule annotation, multiway gap analysis, stress and risk testing and reporting. Our experts deploy modern technology to ensure superior analysis, efficient workflow and robust and auditable controls.

Customization
Customization

We provide simulation and real-time validations for portfolio compliance, migration and/or conversion of investment compliance systems. We conduct efficiency studies for process enhancement, strengthening controls and clearing up bottlenecks for cost-effective process management.

Process optimisation
Process optimisation

We conduct deep-dive analyses to design efficient investment compliance operating models for gap analysis (in terms of regulatory changes) and incorporate the changes to make the solution more efficient and effective in any compliance environment.

Talk to an expert

See how we can help you improve your processes and make you
more efficient.

What we have done

Support for Consulting and Corporate Firms
Post-Trade Monitoring Support – Large Global Asset Manager
What we are proud of

USD1m

in operating cost savings

100%

on time delivery

Support for Consulting and Corporate Firms
Investment Compliance Support for a Global Asset Manager
What we are proud of

100%

accurate and updated guidelines

40%

time savings

In the News

Kyckr
“The Future of KYC Compliance — Insights from Jehan Jeyaretnam”
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Compliance Podcast Network
“Innovation in compliance with Tom Fox- Knowledge process outsourcing with Jehan Jeyaretnam”
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Compliance Week
“Done right, outsourcing compliance can be rewarding”
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Meet our experts

Rahul Narsian

Director, Investment Compliance

 

Rahul manages the Investment Compliance division, and is responsible for expanding and stabilizing the investment compliance team and enhancing the client experience. He has 10 years of experience in asset management compliance. He previously worked with firms including AXA, Goldman Sachs, and JP Morgan Asset Management.

Rahul Narsian
Jehan Jeyaretnam

Director, Head of Compliance Services

Jehan is global head of Compliance Services, serving buy- and sell-side clients. He was previously the head of global projects and transitions — equity, and led all inbound scoping requests and delivery solutions for buy- and sell-side clients. Jehan managed the setup and transition of several large engagements, including lift-and-shift of processes for clients across multiple work streams. He has over 17 years of experience in investment research and analysis, compliance, project management, audit control and systems implementation. He has led large projects and teams across multiple work streams and global locations and is a Certified Investment Advisor (Colombo Stock Exchange)

Jehan Jeyaretnam
Puneet Prakash

Director, Product Head, Compliance Support

Puneet Prakash is the product head of the firm’s Compliance Services business unit. He is responsible for strategizing and creating optimal solutions for the firm’s Compliance clientele, globally. He has over 15 years of experience in financial services and knowledge offshoring. He has previously worked with firms such as TCS and WNS. Puneet holds an MBA (Finance & Marketing) from the Indian Institute of Management, Kozhikode and a Bachelor of Technology from the Indian Institute of Technology, India

Puneet Prakash
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