Compliance-as-a-Service

    TRADE COMPLIANCE SOLUTIONS FOR INVESTMENT FIRMS

    complianceINDATA Compliance-as-a-Service solution provides full support at every step with best-of-class software, technology, services, and data within a single, integrated managed service. INDATA clients utilizing iPM Cloud or in-house software users can take full advantage of this service. Firms receive highly a experienced team of compliance experts to engage in compliance rule writing, setup, and testing. Firms partner with INDATA to strengthen compliance capabilities, improve operational efficiency, and reduce risk.

    Strengthen Pre-Trade and Post-Trade Compliance

    With a state-of-the-art, SaaS-based trade compliance system backed by expert support, you can minimize operational risks and ensure pre-trade and post-trade compliance across your firm. Get a holistic view of your firm’s compliance via fully automated reports. In a heightened regulatory environment, compliance is at the center of every investment decision. Establishing compliance best practices with trading and portfolio management workflows enables firms to focus more time on investment research and servicing clients.s.

    Meet Regulatory Requirements and Investor Mandates with Greater Efficiency

    Investors put their confidence and trust in an investment firm. They must feel certain those managing their funds are doing so correctly. Compliance-as-a-Service creates a solution across the enterprise to streamline the complex regulations and client requirements. In this model, investors are most assured that compliance capabilities are best-in-class.

    Prevent Errors Before They Happen

    Trade compliance solutions prevent mistakes. Although compliance issues can and will occur, firms can avoid high-risk scenarios with costly repercussions by adding third-party resources offering greater oversight such as INDATA CaaS.

    TOP FEATURES OFFERED

    COMPLIANCE RULE WRITING & CREATION

    Receive rule writing and creation support from the INDATA team. Get help with developing and assigning rules for industry rule types and regulatory libraries.

    REVIEW OF PENDING COMPLIANCE RULES

    Collaborate with INDATA compliance resources for a complete evaluation of pending rules. Learn how they impact trading and operations with expert guidance.

    RULE TESTING & ONGOING UPDATES

    Work with compliance experts to test rules within workflow guidelines. As testing continues, the iPM Compliance Rules Library expands with ongoing updates.

    COMPLIANCE SPECIALISTS AT YOUR DISPOSAL

    Access INDATA team members and their extensive knowledge of trade compliance best practices to improve a firm’s position concerning regulatory requirements.

    REAL-TIME ALERTS

    Address problems before they occur with pre-trade compliance alerts. These violation notifications enable firms to address compliance issues quickly.

    COMPREHENSIVE COMPLIANCE REPORTING

    View compliance-related reporting across the complete trade lifecycle. Efficient reports ensure that compliance officers and other staff stay informed and have the necessary detailed reporting to understand firmwide compliance standing at any point in time.

    COMPLIANCE CHECKS AT EVERY LEVEL

    Cover all the bases within investment management compliance. Security, portfolio, portfolio group, or asset class checks are available on a pre-, post, and real-time basis.

    SUPPORT FOR NEW ASSET CLASSES

    Enter new markets and asset classes with confidence. INDATA compliance services allow firms to navigate smoothly into new territory on a multi-asset basis.

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    COMPLIANCE-AS-A-SERVICE BENEFITS

    Seamlessly Operate With Minimum Compliance Overhead

    Eliminate the challenges and concerns surrounding hiring and managing additional compliance staff. Operate in a “hands-free” environment instead of being needlessly burdened by complex compliance rules administration.

    Employees Can Focus on Core Competencies

    Enable compliance and operations staff to shift from routine compliance duties to higher-level functions related to core firm objectives.

    Scale Without Adding Headcount

    Expand compliance programs and get all the checks and balances your firm needs by outsourcing compliance. Scale up without the need to hire more employees.

    Integration of Risk Mitigation and Robust Compliance for Efficiency

    Manual processes in compliance can be slow and can require significant oversight. Integrating risk and compliance into the trading life cycle by automating tasks which makes the process more efficient.

    Manage Shareholder Disclosure Compliance With INDATA GSDS

    Global Shareholder Disclosure Service (GSDS) is a component of INDATA’s overall iPM CaaS offering. This offering helps compliance staff with specialized rules related to shareholder disclosure rules across countries and regions.

    GSDS contains an investment compliance software rules library for A&O aosphere subscribers. INDATA clients can use GSDS functionality in conjunction with the aosphere-based rules library. The first option is configuring it as part of an integrated solution, which is a best practice. The alternative is to employ GSDS tracking and compliance software on a standalone basis.

    FREQUENTLY ASKED QUESTIONS

    Firms use INDATA experts to develop a variety of rule types and protocols to help with compliance and regulatory requirements. The most common revolves around rules aligning with client-specific mandates as required.

    Getting advice and instruction from compliance specialists can help mitigate risk. Having a working relationship and a team to review, automate and audit processes continually provides more checks and balances to mitigate risk exposure.

    The INDATA CaaS solution integrates all the components of compliance. It includes the software, technology, services, and data personnel in a single service.

    ADDITIONAL RESOURCES

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    INDATA Launches Compliance as a Service
    624 300 INDATA

    iPM Epic Clients offered new Global Shareholder Disclosure Service Leveraging Allen & Overy’s aosphere Rulefinder Greenwich, CT — February 2, 2016 — INDATA, a leading industry provider of software, technology and services for…

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    Managing Compliance in a Changing Regulatory Environment
    1024 683 INDATA

    Investment management firms face a challenging environment.  While market conditions are improving, greater demands for transparency created by the financial crisis have resulted in a new regulatory regime that promises to significantly impact…

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    Data Governance Needed for Effective Compliance
    624 300 INDATA

    Interesting article in FundFire recently regarding compliance.   Apparently, there is between a 25% and 40% rate of error in the coding of compliance rules within the typical investment management firm.   If true, this…

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