Investment Compliance - SynoFin Risikomanagement Service AG

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Investment Compliance

Investment Compliance is an important and complex task on a daily basis. The RiskMan Investment Compliance add-on streamlines quality and efficiency of the compliance process and relieves the Compliance officer of a lot of all the calculating, accumulation and limit monitoring.

Building on the DataLoad & Enrichment procedures of the base module, sets of legal and client specific rules and limits are specified. These rules and limits are applied to single-stocks and portfolios, the subsequent results subject to a customisable traffic-light rating system.

These findings then are provided as reports as well as to-dos for the Compliance officers and authorised parties. The automatic recording of every step of the process is audit-proof making the Investment Compliance add-on an efficient and premium tool to comply with your legal obligations in the investment process.

Alternatively you can always opt to outsource the operati-onal Investment Compliance to SynoFin! We’d be happy to be of service!
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