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
Onboarding new funds and client accounts (institutional, private client and general accounts)
Interpreting and analysing guidelines (IMA, prospectus, SAI, etc.)
Creating and/or adding rules on investment compliance platforms
Account hierarchy mapping, process flows and documentation
Quality check and simulation testing for validation of rules and their output
Revising/amending guideline mandate
Testing and auditing rules
Rule optimisation and/or updating rules in line with system enhancements
Standardising rule coding through universal rules and rule libraries
Scrubbing existing accounts to incorporate new logic and enhancements
Account termination or closure process
Creation and maintenance of watch lists, restricted lists and permitted lists
Miscellaneous list creation reviews and updates
Counterparty checks (allowed/restricted)
Pre and Post-trade monitoring, to ensure no violation of guidelines due to executed trades or other factors such is inadequate data and market movements
Monitoring notifications to portfolio managers or client account managers to take corrective action in the event of a violation
Root cause analysis of investment guideline violation alerts
Standardising the process through best practices and standard templates
Responding to ad hoc queries and requests from the portfolio management team
Trend and volume analysis reports
Data science tools for analysis and resolution of major contributing alerts
Responding to custodian emails in the event of a difference in coding or monitoring methodology
Monitoring and reporting on manual guidelines (exception management)
Investment compliance system implementation
Migrating and/or converting investment compliance systems (e.g., LZ Sentinel to Charles River or SimCorp to BBG AIM)
Exceptions management tool testing– deployment and testing of clients’ post-trade automation tools
Strategic process study for efficiency and control enhancement
Strategic process study for efficiency and control enhancement
Client reporting
Periodic client certifications
Ad hoc client reporting
Monitoring alert reports
Investment Compliance Services Support we offer
Onboarding new funds and client accounts (institutional, private client and general accounts)
Interpreting and analysing guidelines (IMA, prospectus, SAI, etc.)
Creating and/or adding rules on investment compliance platforms
Account hierarchy mapping, process flows and documentation
Quality check and simulation testing for validation of rules and their output
Revising/amending guideline mandate
Testing and auditing rules
Rule optimisation and/or updating rules in line with system enhancements
Standardising rule coding through universal rules and rule libraries
Scrubbing existing accounts to incorporate new logic and enhancements
Account termination or closure process
Creation and maintenance of watch lists, restricted lists and permitted lists
Miscellaneous list creation reviews and updates
Counterparty checks (allowed/restricted)
Pre and Post-trade monitoring, to ensure no violation of guidelines due to executed trades or other factors such is inadequate data and market movements
Monitoring notifications to portfolio managers or client account managers to take corrective action in the event of a violation
Root cause analysis of investment guideline violation alerts
Standardising the process through best practices and standard templates
Responding to ad hoc queries and requests from the portfolio management team
Trend and volume analysis reports
Data science tools for analysis and resolution of major contributing alerts
Responding to custodian emails in the event of a difference in coding or monitoring methodology
Monitoring and reporting on manual guidelines (exception management)
Investment compliance system implementation
Migrating and/or converting investment compliance systems (e.g., LZ Sentinel to Charles River or SimCorp to BBG AIM)
Exceptions management tool testing– deployment and testing of clients’ post-trade automation tools
Strategic process study for efficiency and control enhancement
Strategic process study for efficiency and control enhancement
Client reporting
Periodic client certifications
Ad hoc client reporting
Monitoring alert reports
How we are different
Experience
Systems expertise
Technology-driven solutions
Customization
Process optimisation
What we have done
Meet our experts
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