Centralized Compliance Monitoring and Management
Charles River IMS offers a cutting-edge solution for investment managers by providing centralized compliance monitoring and management throughout the investment life cycle. With a suite of complementary services, this solution is dedicated to reducing costs and ensuring compliance with a wide array of global regulations. By automating the compliance workflow and supporting rule-building, testing, and maintenance, investment managers can streamline their operations efficiently.
Key Compliance Capabilities
This powerful solution includes various key compliance capabilities designed to enhance front office productivity. It enables monitoring of gross or net exposures to different attributes such as country, issuer, currency, or counterparty. Moreover, it allows validation of compliance results at various stages like pre-trade, in-trade, post-execution, and end-of-day. With an end-to-end audit trail, investment managers can reduce risks and swiftly resolve any issues that arise.
Enhanced Compliance Reporting and Analysis
Charles River Compliance & Regulatory Solution offers customizable reporting features and a complete audit history. Investment managers can generate compliance trend reports to showcase the calculated value for specific compliance rules over time. By maintaining compliance tolerance levels for portfolio rebalancing models and monitoring substantial shareholder disclosure regulations, this solution streamlines the compliance process and ensures strict adherence to regulations.
MiFID II Compliance Solution
In addition to the comprehensive compliance features, Charles River provides investment managers with an end-to-end solution to meet regulatory obligations under the European Union’s Markets in Financial Directive II (MiFID II). This solution captures crucial data and trade lifecycle decision points necessary to comply with new requirements for trade and transaction reporting, best execution, and commission management. It offers a seamless approach to handle MiFID II compliance obligations efficiently.
Connect with Charles River
Are you in search of a robust Compliance & Regulatory Solution for your investment management needs? Charles River is here to answer your questions and provide the support you need to navigate the complex regulatory landscape effectively. Contact us today to learn more about how our solutions can empower your investment strategies and ensure regulatory compliance.