Investment Compliance Monitoring
As regulations become more complex, and evolve faster than ever, you need to keep track of the changes and what they mean for your business.
Our investment compliance monitoring solutions will quickly and objectively analyze whether you are meeting specified guidelines, and industry requirements and regulations.
From the simplest requirement to the most complex quantitative procedures, your documented restrictions and limitations can be applied across one or multiple portfolios. You can actively monitor your investments against management policies on a post-trade, pre-settlement date basis.
Our core investment compliance monitoring capabilities include:
- Asset allocation and issuer concentration
- Industry, sector and security investment limits
- Credit quality and derivatives testing
- Duration, VaR and other risk characteristics, leverage restrictions
- Country and regional/state exposures and investment rules
- Asset mix, tracking error, quality ratings
- Corporate governance and industry regulations
Our global compliance experts can help you customize your investment compliance oversight and simplify compliance monitoring. You’ll benefit from online breach notification and workflow tools through our compliance dashboards, available on my.statestreet.com, as well as supplementary reporting.