Investment Compliance support & services - trade monitoring & surveillance

Investment Compliance

Leveraging technology and domain expertise to enhance the capabilities of the trade surveillance and 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 and trade surveillance has enabled compliance functions to do more with less . We help our clients protect themselves against reputational and financial risk as a result of guideline breaches, incorrect trades, market abuse and insider trading.

Our team of experts has a unique combination of skill sets. They have extensive experience in order management/compliance systems such as Bloomberg AIM, Ion’s Latent Zero Sentinel, Charles River Database (CRIMS), LDC, ThinkFolio and BlackRock’s Aladdin, BTCA and SMARTS. They also bring deep domain understanding such as the 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.

Trade Surveillance and Investment Compliance Services Support we offer

How we are different

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

We are experienced in compliance tools such as Sentinel, Charles River, Bloomberg AIM, and BlackRock‘s Aladdin.

We have the expertise to compile investment policies based on categories and asset classifications, which could be further leveraged to build innovative automation solutions for investment compliance services and assist in investment decision making.

We provide simulation and real-time validations for compliance in pre-trade and post-trade activity and while executing what-if scenarios to ensure all risks are covered and every anomaly is captured.

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

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

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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“Biden’s Inauguration Heralds a New Era in Financial Regulation”
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Meet our experts

Rahul Narsian

Assistant 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
Rahul Narsian

Assistant Director, Investment Compliance

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
Jehan Jeyaretnam

Director, Head of Compliance Services

Puneet Prakash

Associate 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
Puneet Prakash

Associate Director, Product Head, Compliance Support

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