Compliance solutions for asset managers
Asset Management Solutions
Regulatory compliance solutions for asset managers – helping your organization stay compliant and avoid regulatory breaches.
Understand and implement regulatory compliance
Asset managers must ensure regulatory compliance is understood, implemented and evidenced throughout the firm by everyone – from the board to the middle- and back-office. This is vital in avoiding the fines witnessed in recent years and reputational damage caused by regulatory breaches.
Our regulatory compliance solutions help your firm navigate the complex regulatory environment.
Customer On-boarding & Know Your Customer (KYC)/Anti-Money Laundering (AML) Solutions
Firms spend an average of $60m a year on KYC procedures and it can take up to 24 days to on-board a new customer. Our solutions help reduce the on-boarding burden and help your firm comply with KYC and AML obligations, saving you time, resources and money.
Delivers a managed service that reduces the time and cost implications of performing KYC due diligence in order to onboard, refresh and remediate trading counterparties, intermediaries and institutional investors.
Our World-Check solution enables you to screen for heightened risk individuals and entities to help uncover hidden risks in business relationships and human networks. Over 530 sanction, watch, regulatory and enforcement lists – and 100,000s of reputable sources – are monitored across the world for KYC, AML, CFT and PEP due diligence.
Access reports for detailed background checks on entities or individuals, no matter where they are in the world. Used by firms globally to provide a greater level of scrutiny of potential business associates and highlight risk that cannot be detected at geopolitical analysis or batch screening level.
Firms spend an average of $60m a year on KYC procedures and it can take up to 24 days to on-board a new customer. Our solutions help reduce the onboarding burden and help your firm comply with KYC and AML obligations, saving you time, resources and money.
Regulatory Compliance Management
With an average of 200 regulatory alerts tracked globally on a daily basis, we have the solutions to help you keep up with and manage the relevant developments and understand the impact on your firm.
Make informed decisions and manage risk with exclusive news, impact analysis and practical guidance from our global team of experts. Includes coverage of more than 650 regulatory bodies and over 1,200 rulebooks, and provides innovative tools, such as a reporting functionality and an events calendar ensuring you don’t miss regulatory deadlines.
Train employees to understand real-world compliance issues to mitigate your organization’s overall exposure to risk. Tailored to support your business at a country, regional and global level, our 800+ customizable online training courses ensure employees are aware of their responsibilities.
Capture, monitor and investigate your employee and firm trade data, and streamline and automate your code of conduct compliance. Keep on top of trade surveillance, sales practices, insider trading and suitability of investment activity to prevent breaches in regulatory compliance.