Compliance

AlphaDesk is the ideal solution to help keep your funds keep compliant efficiently and accurately. Set up compliance processes and rules to reflect the regulations, mandates, restrictions, and internal controls of your specific funds.

  • Flexible automation. AlphaDesk automates the compliance workflow, eliminating the need to check trades and positions manually. Reduce the risk of errors and improve performance. Set up customized handling of breaches, including notifying compliance officers, requesting for approval, etc.
  • Integrated compliance monitoring. The software integrates compliance with all aspects of the asset management process, from order initiation to settlement. Automated pre-trade checking allows users to respond quickly to possible violations and avoid expensive mistakes. In addition compliance reports can be run at any time to verify that funds are compliant.
  • Intuitive pre-built rule sets. Compliance rule templates are available to meet the standards of many compliance regimes, such as UCITS IV. These can then be customized further for particular assets, funds, and domiciles.
  • Centralized management. AlphaDesk considers regulatory, company-wide, and client-directed restrictions to help users meet both due diligence requirements and regulatory requirements. Move easily across geographies, jurisdictions, markets, and assets.
  • Complete audit history. AlphaDesk maintains an end-to-end audit trail of all compliance checks, approvals, and breaches, detailing when and by whom changes were made.
  • Integrated risk management tools. The system includes many risk management tools, such as Value-at-Risk and liquidity risk reports. This supports the internal risk management function required by UCITS IV and some other oversight frameworks.