rm_investment_compliance - SynoFin Risikomanagement Service AG

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Investment Compliance

The RiskMan add-on Investment Compliance module enables you to perform automated and secure checks and controls

  • regulatory investment limits
  • fund-specific investment limits
  • internal limit

and is carried out via an user-friendly interface through proven processes and methods.

The individual requirements can be implemented in a short time via predetermined test-logic modules and processing stages.
At the push of a button, retriction - compliance or -violation at

  • Corporation level
  • Portfolio-/Fund level
  • Financial-instrument level

are available online, in reports and/or via out-put files to the responsible/authorized person.

Restriction violations are handled directly on the RiskMan user interface.
Role-specific rights enable those responsible to forward instructions or comments directly to the responsible fund or asset manager.
All processing stages are documented audit-proof via log entries.

The pre-trade check can be started online by the customer at any time by adding the planned trades to the existing portfolios and calculating the investment limits.

In addition, the investment compliance function can be outsourced to SynoFin as an FMA-approved risk manager.
This provides you not only with a modern and cost-effective solution but also with a professional service.

Are you interested or do you have any questions ?
Make an appointment now.
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