Investment Compliance Monitoring
Run holdings-based compliance checks across every portfolio with the NGT Investment compliance tool, and investigate only the breaches that need a person.
Description
Investment compliance monitoring is complex due to fragmented data sources, manual processes, and the need to enforce diverse regulatory and custom rules.
The Investment Compliance plugin checks every portfolio against your regulatory and custom rules. An Oversight skill owns the procedure: NGT Data ingestion harmonises holdings and trades from your providers, and the NGT Investment compliance tool evaluates every rule.
Each breach opens as an exception with its context and evidence, is investigated, and is closed by a person.
Key Features
- Ingestion and harmonisation of holdings and trades, with connectors to your existing compliance tools.
- Configurable rules, contextual breach detection and sign-off by a person on every breach.
- Checks that scale to large fund universes, with every result logged and replayable.
NGT Tools it calls
- Data ingestion
- Referential data manager
- Investment compliance
- NGT Exception Framework: Detection, Classification, Investigation, Sign-off
Data Objects
- Funds/Sub-Funds
- Portfolio Positions
- Transactions
- Provider X results
- Compliance Rules
Workflows
- Ingest and Clean Portfolio
- Load Provider X results
- Calculate NGT Analytics
- Build Breach Investigation Tasks
“Asset managers must adapt quickly to meet investors' expectations and having a reliable partner like Next Gate Tech is essential for this transition.”
Benoît Joseph
Chief Risk Officer, Trustmoore
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