Business Intuition

TRADE COMPLIANCE SOLUTIONS FOR INVESTMENT FIRMS

complianceINDATA Compliance-as-a-Service solution provides full support at every step with best-of-class software, technology, services, and data within a single, integrated managed service. INDATA clients utilizing iPM Cloud or in-house software users can take full advantage of this service. Firms receive highly a experienced team of compliance experts to engage in compliance rule writing, setup, and testing. Firms partner with INDATA to strengthen compliance capabilities, improve operational efficiency, and reduce risk.

Strengthen Pre-Trade and Post-Trade Compliance

With a state-of-the-art, SaaS-based trade compliance system backed by expert support, you can minimize operational risks and ensure pre-trade and post-trade compliance across your firm. Get a holistic view of your firm’s compliance via fully automated reports. In a heightened regulatory environment, compliance is at the center of every investment decision. Establishing compliance best practices with trading and portfolio management workflows enables firms to focus more time on investment research and servicing clients.s.

Meet Regulatory Requirements and Investor Mandates with Greater Efficiency

Investors put their confidence and trust in an investment firm. They must feel certain those managing their funds are doing so correctly. Compliance-as-a-Service creates a solution across the enterprise to streamline the complex regulations and client requirements. In this model, investors are most assured that compliance capabilities are best-in-class.

Prevent Errors Before They Happen

Trade compliance solutions prevent mistakes. Although compliance issues can and will occur, firms can avoid high-risk scenarios with costly repercussions by adding third-party resources offering greater oversight such as INDATA CaaS.

WHITE PAPER: MANAGING COMPLIANCE IN A CHANGING REGULATORY ENVIRONMENT

TOP FEATURES OFFERED

COMPLIANCE RULE WRITING & CREATION

Receive rule writing and creation support from the INDATA team. Get help with developing and assigning rules for industry rule types and regulatory libraries.

REVIEW OF PENDING COMPLIANCE RULES

Collaborate with INDATA compliance resources for a complete evaluation of pending rules. Learn how they impact trading and operations with expert guidance.

RULE TESTING & ONGOING UPDATES

Work with compliance experts to test rules within workflow guidelines. As testing continues, the iPM Compliance Rules Library expands with ongoing updates.

COMPLIANCE SPECIALISTS AT YOUR DISPOSAL

Access INDATA team members and their extensive knowledge of trade compliance best practices to improve a firm’s position concerning regulatory requirements.

REAL-TIME ALERTS

Address problems before they occur with pre-trade compliance alerts. These violation notifications enable firms to address compliance issues quickly.

COMPREHENSIVE COMPLIANCE REPORTING

View compliance-related reporting across the complete trade lifecycle. Efficient reports ensure that compliance officers and other staff stay informed and have the necessary detailed reporting to understand firmwide compliance standing at any point in time.

COMPLIANCE CHECKS AT EVERY LEVEL

Cover all the bases within investment management compliance. Security, portfolio, portfolio group, or asset class checks are available on a pre-, post, and real-time basis.

SUPPORT FOR NEW ASSET CLASSES

Enter new markets and asset classes with confidence. INDATA compliance services allow firms to navigate smoothly into new territory on a multi-asset basis.

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COMPLIANCE-AS-A-SERVICE BENEFITS

Seamlessly Operate With Minimum Compliance Overhead

Eliminate the challenges and concerns surrounding hiring and managing additional compliance staff. Operate in a “hands-free” environment instead of being needlessly burdened by complex compliance rules administration.

Employees Can Focus on Core Competencies

Enable compliance and operations staff to shift from routine compliance duties to higher-level functions related to core firm objectives.

Scale Without Adding Headcount

Expand compliance programs and get all the checks and balances your firm needs by outsourcing compliance. Scale up without the need to hire more employees.

Integration of Risk Mitigation and Robust Compliance for Efficiency

Manual processes in compliance can be slow and can require significant oversight. Integrating risk and compliance into the trading life cycle by automating tasks which makes the process more efficient.

Manage Shareholder Disclosure Compliance With INDATA GSDS

Global Shareholder Disclosure Service (GSDS) is a component of INDATA’s overall iPM CaaS offering. This offering helps compliance staff with specialized rules related to shareholder disclosure rules across countries and regions.

GSDS contains an investment compliance software rules library for A&O aosphere subscribers. INDATA clients can use GSDS functionality in conjunction with the aosphere-based rules library. The first option is configuring it as part of an integrated solution, which is a best practice. The alternative is to employ GSDS tracking and compliance software on a standalone basis.

CASE STUDIES

SOLUTIONS BY PRODUCT

Implement SaaS-based solutions to drive the greatest efficiency, automation, and insights with INDATA. With these solutions, institutional investment managers can also take advantage of AI, all within the security of a private, cloud-based solution.
INDATA iPM Portfolio Architect AI
iPM Cloud
iPM Portal
Architect AI Reporting
Trade Order Management
BI Reporting
Portfolio Accounting Software
Compliance
Portfolio Management

SOLUTIONS BY USE CASE

The ecosystem of institutional investment management is vast and often complex. The solutions firms adopt should create efficiencies and serve the specific use case in question. From trade order management to portfolio accounting, through to compliance and BI reporting, and more, INDATA solutions empower the industry to be proactive and ready to meet the changing needs of institutional customers and regulators as a way to future-proof trading and investment operations.

FREQUENTLY ASKED QUESTIONS

What Types of Compliance Rules and Procedures Can INDATA Support?

Firms use INDATA experts to develop a variety of rule types and protocols to help with compliance and regulatory requirements. The most common revolves around rules aligning with client-specific mandates as required.

Does Compliance Outsourcing Help Reduce Risk?

Getting advice and instruction from compliance specialists can help mitigate risk. Having a working relationship and a team to review, automate and audit processes continually provides more checks and balances to mitigate risk exposure.

How Is Compliance Fully Integrated?

The INDATA CaaS solution integrates all the components of compliance. It includes the software, technology, services, and data personnel in a single service.

What Is Compliance-As-A-Service (CaaS) From INDATA?

INDATA’s compliance-as-a-service provides a complete compliance solution for investment firms. The services include support for INDATA’s iPM SaaS, technology, and data, consolidated into an integrated managed service. The service includes setting up compliance rules, real-time alerts for potential compliance violations, automated reporting, compliance checks at every level, and more. 

Additionally, clients have access to an experienced team of compliance experts. This team can help with compliance rule writing, setup, and testing. A review of pending compliance rules is also an option.

By working with INDATA, investment management organizations can streamline their compliance processes and minimize risk exposure.

Who Can Use INDATA’s CaaS Offering?

INDATA has designed CaaS compliance services for institutional investment managers, wealth managers and advisors, hedge funds, and pension/sovereign wealth funds, focusing on portfolio accounting and operations, portfolio management and trading, as well as risk and compliance officers.

Compliance-as-a-service encompasses the entire lifecycle of a transaction, including pre-trade and post-trade activities.

What Specific Compliance Functions Can INDATA’s CaaS Help With?

Firms can utilize INDATA’s CaaS solutions across various compliance workflows where regulatory rules dictate specific requirements. There are compliance checks for both pre-trade and post-trade activities. Rule management options include rule writing and creation, as well as reviewing pending rules. Once compliance rules are in place, the service tests and updates them as necessary.

Another component of the offering is reporting. Users can review compliance-related reporting for the entire lifecycle. Detailed reporting enables compliance officers and others to understand the state of compliance at any point. 

Compliance support is also available for entering new markets and asset classes. CaaS includes management for INDATA Global Shareholder Disclosure Service (GSDS) users, assisting with special rules related to shareholder disclosures. 

What Are the Primary Benefits of Choosing INDATA as a Compliance-As-A-Service Provider?

Working with a compliance-as-a-service provider like INDATA enables seamless operations and reduces the burden on internal staff. By working with a trusted organization, firms can decrease compliance overhead costs. The model lets companies scale without adding more employees.

Compliance and operations roles won’t have to directly implement their daily compliance administrative duties. Instead, they can focus on higher-level, strategic work. Applying INDATA technology and experts to compliance management also ensures greater efficiency. Automation of these low-level tasks removes manual processes that can slow down operations and be prone to error.

How Does INDATA’s Technology Platform Support Its Compliance-As-A-Service Solution?

iPM Cloud is the central platform for compliance. It’s a SaaS-based trade compliance system. It resides in a private cloud, so there’s no data sharing between clients. It’s scalable on demand, and automatic updates are applied.

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Complete the form below to learn more about Compliance-as-a-Service. An INDATA team member will be in touch to discuss simplifying and improving workflows.

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