{"id":8578,"date":"2024-01-30T14:09:55","date_gmt":"2024-01-30T22:09:55","guid":{"rendered":"https:\/\/www.indataipm.com\/?page_id=8578"},"modified":"2025-07-07T14:45:20","modified_gmt":"2025-07-07T22:45:20","slug":"compliance-as-a-service","status":"publish","type":"page","link":"https:\/\/www.indataipm.com\/compliance-as-a-service\/","title":{"rendered":"Compliance-as-a-Service"},"content":{"rendered":"
[vc_row heading_color=”light” middle_content=”yes” bg_type=”image” bg_image=”2220″ header_feature=”yes” padding_top=”50px” padding_bottom=”50px” margin_bottom=”0px” el_class=”banner-section”][vc_column][vc_row_inner][vc_column_inner][vc_empty_space height=”30px”][vc_custom_heading source=”post_title” font_container=”tag:h1|font_size:60px|text_align:center|color:%23ffffff|line_height:84px” use_theme_fonts=”yes” css=””][vc_column_text css=”” text_style=”subtitle” el_class=”banner-subtext”]\n

Integrate <\/span>Compliance-as-a-Service<\/span> (CaaS) into trade order management with INDATA\u2019s outsourcing services. Gain greater control and oversight over compliance rule creation and administration, from compliance rule setup to back-testing and full production. Rely on INDATA <\/span>trade compliance solutions<\/span> as an extension of a firm\u2019s compliance operations for complex compliance rules that require a timely response.<\/span><\/span><\/p>\n[\/vc_column_text]

REQUEST A DEMO<\/span><\/a><\/div>[vc_empty_space height=”30px”][\/vc_column_inner][\/vc_row_inner][\/vc_column][\/vc_row][vc_row middle_content=”yes” padding_top=”60px” padding_bottom=”60px”][vc_column el_class=”custom-pr-4″][vc_custom_heading text=”TRADE COMPLIANCE SOLUTIONS FOR INVESTMENT FIRMS” font_container=”tag:h2|text_align:left|color:%2371a9c1″ google_fonts=”font_family:Open%20Sans%3A300%2C300italic%2Cregular%2Citalic%2C600%2C600italic%2C700%2C700italic%2C800%2C800italic|font_style:300%20light%20regular%3A300%3Anormal” el_class=”custom-h2″][vc_column_text]\"compliance\"INDATA <\/span>Compliance-as-a-Service<\/span> 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.<\/span><\/p>\n

Strengthen Pre-Trade and Post-Trade Compliance<\/h3>\n

With a state-of-the-art, SaaS-based <\/span>trade compliance system<\/span> backed by expert support, you can minimize operational risks and ensure pre-trade and <\/span>post-trade compliance across your firm<\/span>. Get a holistic view of your firm\u2019s 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.<\/span><\/p>\n

Meet Regulatory Requirements and Investor Mandates with Greater Efficiency<\/h3>\n

Investors put their confidence and trust in an investment firm. They must feel <\/span>certain <\/span>those managing their funds are doing so <\/span>correctly<\/span>. <\/span>Compliance-as-a-Service<\/span> 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.<\/span><\/p>\n

Prevent Errors Before They Happen<\/h3>\n

Trade compliance solutions<\/span> 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.<\/span>[\/vc_column_text]

WHITE PAPER: MANAGING COMPLIANCE IN A CHANGING REGULATORY ENVIRONMENT<\/span><\/a><\/div>[\/vc_column][\/vc_row][vc_row middle_content=”yes” bg_type=”image” bg_image=”99″ opacity_overlay=”80″ padding_top=”60px” padding_bottom=”60px” margin_bottom=”0px” el_class=”features-section”][vc_column][vc_custom_heading text=”TOP FEATURES OFFERED” font_container=”tag:h2|text_align:center|color:%23ffffff” google_fonts=”font_family:Open%20Sans%3A300%2C300italic%2Cregular%2Citalic%2C600%2C600italic%2C700%2C700italic%2C800%2C800italic|font_style:300%20light%20regular%3A300%3Anormal” css=”.vc_custom_1690844337482{padding-bottom: 15px !important;}” el_class=”custom-h2″][vc_row_inner el_class=”service-row”][vc_column_inner el_class=”service-box” width=”1\/4″ tablet_width=”1-2″ tablet_sm_width=”1-2″]
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COMPLIANCE RULE WRITING & CREATION<\/span><\/h3>

Receive rule writing and creation support from the INDATA team. Get help with developing and assigning rules for industry rule types and regulatory libraries.<\/p> <\/div><\/div>[\/vc_column_inner][vc_column_inner el_class=”service-box” width=”1\/4″ tablet_width=”1-2″ tablet_sm_width=”1-2″]

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REVIEW OF PENDING COMPLIANCE RULES<\/span><\/h3>

Collaborate with INDATA compliance resources for a complete evaluation of pending rules. Learn how they impact trading and operations with expert guidance.<\/p> <\/div><\/div>[\/vc_column_inner][vc_column_inner el_class=”service-box” width=”1\/4″ tablet_width=”1-2″ tablet_sm_width=”1-2″]

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RULE TESTING & ONGOING UPDATES<\/span><\/h3>

Work with compliance experts to test rules within workflow guidelines. As testing continues, the iPM Compliance Rules Library expands with ongoing updates.<\/p> <\/div><\/div>[\/vc_column_inner][vc_column_inner el_class=”service-box” width=”1\/4″ tablet_width=”1-2″ tablet_sm_width=”1-2″]

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COMPLIANCE SPECIALISTS AT YOUR DISPOSAL<\/span><\/h3>

Access INDATA team members and their extensive knowledge of trade compliance best practices to improve a firm\u2019s position concerning regulatory requirements.<\/p> <\/div><\/div>[\/vc_column_inner][\/vc_row_inner][vc_row_inner el_class=”service-row”][vc_column_inner el_class=”service-box” width=”1\/4″ tablet_width=”1-2″ tablet_sm_width=”1-2″]

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REAL-TIME ALERTS<\/span><\/h3>

Address problems before they occur with pre-trade compliance alerts. These violation notifications enable firms to address compliance issues quickly.<\/p> <\/div><\/div>[\/vc_column_inner][vc_column_inner el_class=”service-box” width=”1\/4″ tablet_width=”1-2″ tablet_sm_width=”1-2″]

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COMPREHENSIVE COMPLIANCE REPORTING<\/span><\/h3>

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.<\/p> <\/div><\/div>[\/vc_column_inner][vc_column_inner el_class=”service-box” width=”1\/4″ tablet_width=”1-2″ tablet_sm_width=”1-2″]

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COMPLIANCE CHECKS AT EVERY LEVEL<\/span><\/h3>

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.<\/p> <\/div><\/div>[\/vc_column_inner][vc_column_inner el_class=”service-box” width=”1\/4″ tablet_width=”1-2″ tablet_sm_width=”1-2″]

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SUPPORT FOR NEW ASSET CLASSES<\/span><\/h3>

Enter new markets and asset classes with confidence. INDATA compliance services allow firms to navigate smoothly into new territory on a multi-asset basis.<\/p> <\/div><\/div>[\/vc_column_inner][\/vc_row_inner][vc_empty_space height=”25px”]

REQUEST A DEMO<\/span><\/a><\/div>[\/vc_column][\/vc_row][vc_row middle_content=”yes” padding_top=”60px” padding_bottom=”60px”][vc_column width=”1\/2″ el_class=”custom-pr-4″]
\"indata<\/div>[\/vc_column][vc_column width=”1\/2″ el_class=”custom-pl-4″][vc_custom_heading text=”COMPLIANCE-AS-A-SERVICE BENEFITS” font_container=”tag:h2|text_align:left|color:%2371a9c1″ google_fonts=”font_family:Open%20Sans%3A300%2C300italic%2Cregular%2Citalic%2C600%2C600italic%2C700%2C700italic%2C800%2C800italic|font_style:300%20light%20regular%3A300%3Anormal” el_class=”custom-h2″][vc_column_text]\n

Seamlessly Operate With Minimum Compliance Overhead<\/h3>\n

Eliminate the challenges and concerns surrounding hiring and managing additional compliance staff. Operate in a \u201chands-free\u201d environment instead of being needlessly burdened by complex compliance rules administration.<\/span><\/p>\n

Employees Can Focus on Core Competencies<\/h3>\n

Enable compliance and operations staff to shift from routine compliance duties to higher-level functions related to core firm objectives.<\/span><\/p>\n

Scale Without Adding Headcount<\/h3>\n

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.<\/span><\/p>\n

Integration of Risk Mitigation and Robust Compliance for Efficiency<\/h3>\n

Manual processes in compliance can be slow and can require significant oversight. <\/span>Integrating<\/span> risk and compliance into the trading life cycle by automating tasks <\/span>which makes the process<\/span> more efficient.<\/span><\/p>\n

Manage Shareholder Disclosure Compliance With INDATA GSDS<\/span><\/h3>\n

Global Shareholder Disclosure Service (GSDS) is a component of INDATA\u2019s overall iPM CaaS offering. This offering <\/span>helps<\/span> compliance staff with specialized rules related to shareholder disclosure rules across countries and regions.<\/span><\/p>\n

GSDS contains an <\/span>investment compliance software<\/span> 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.<\/span>[\/vc_column_text]

CASE STUDIES<\/span><\/a><\/div>[\/vc_column][\/vc_row][vc_row middle_content=”yes” bg_type=”color” padding_top=”60px” padding_bottom=”60px” bg_color=”#434449″ el_class=”solution-role-section”][vc_column width=”1\/2″ el_class=”custom-pr-4″][vc_custom_heading text=”SOLUTIONS BY PRODUCT” font_container=”tag:h2|text_align:left|color:%23ffffff” google_fonts=”font_family:Open%20Sans%3A300%2C300italic%2Cregular%2Citalic%2C600%2C600italic%2C700%2C700italic%2C800%2C800italic|font_style:300%20light%20regular%3A300%3Anormal” el_class=”custom-h2″][vc_column_text]Implement <\/span>SaaS-based solutions<\/span> to drive the greatest efficiency, automation, and insights with INDATA. With these solutions, <\/span>institutional investment managers<\/span> can also take advantage of AI, all within the security of a private, cloud-based solution.<\/span><\/span>[\/vc_column_text][\/vc_column][vc_column width=”1\/2″ el_class=”custom-pl-4″]
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INDATA iPM Portfolio Architect AI<\/span><\/h5><\/a> <\/div><\/div>
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iPM Cloud<\/span><\/h5><\/a> <\/div><\/div>
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iPM Portal<\/span><\/h5><\/a> <\/div><\/div>
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Architect AI Reporting<\/span><\/h5><\/a> <\/div><\/div>[\/vc_column][\/vc_row][vc_row middle_content=”yes” bg_type=”color” padding_top=”60px” padding_bottom=”60px” el_class=”solution-role-section”][vc_column width=”1\/2″ el_class=”custom-pr-4″]
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Trade Order Management<\/span><\/h5><\/a> <\/div><\/div>
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BI Reporting<\/span><\/h5><\/a> <\/div><\/div>
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Portfolio Accounting Software<\/span><\/h5><\/a> <\/div><\/div>
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Compliance<\/span><\/h5><\/a> <\/div><\/div>
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Portfolio Management<\/span><\/h5><\/a> <\/div><\/div>[\/vc_column][vc_column width=”1\/2″ el_class=”custom-pl-4″][vc_custom_heading text=”SOLUTIONS BY USE CASE” font_container=”tag:h2|text_align:left|color:%2371a9c1″ google_fonts=”font_family:Open%20Sans%3A300%2C300italic%2Cregular%2Citalic%2C600%2C600italic%2C700%2C700italic%2C800%2C800italic|font_style:300%20light%20regular%3A300%3Anormal” el_class=”custom-h2″][vc_column_text]The ecosystem of <\/span>institutional investment management<\/span> 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.<\/span>[\/vc_column_text][\/vc_column][\/vc_row][vc_row bg_type=”image” bg_image=”2437″ el_class=”faq-section-wrap” padding_top=”60px” padding_bottom=”60px”][vc_column][vc_custom_heading text=”FREQUENTLY ASKED QUESTIONS” font_container=”tag:h2|text_align:center|color:%23ffffff” google_fonts=”font_family:Open%20Sans%3A300%2C300italic%2Cregular%2Citalic%2C600%2C600italic%2C700%2C700italic%2C800%2C800italic|font_style:300%20light%20regular%3A300%3Anormal” css=”.vc_custom_1690609055354{margin-bottom: 40px !important;}”][vc_tta_accordion c_icon=”chevron” active_section=”1″ el_class=”custom-faq-widget”][vc_tta_section title=”What Types of Compliance Rules and Procedures Can INDATA Support?” tab_id=”1690539839672-e26867f4-7e4b”][vc_column_text]Firms use INDATA experts to develop a variety of rule types and protocols to help with compliance and regulatory requirements. The most common <\/span>revolves<\/span> around rules <\/span>aligning<\/span> with client-specific mandates as required.<\/span>[\/vc_column_text][\/vc_tta_section][vc_tta_section title=”Does Compliance Outsourcing Help Reduce Risk?” tab_id=”1690540428203-b4259642-5866″][vc_column_text]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.<\/span>[\/vc_column_text][\/vc_tta_section][vc_tta_section title=”How Is Compliance Fully Integrated?” tab_id=”1690540424724-6311c685-b1de”][vc_column_text]The INDATA CaaS solution integrates all the components of compliance. It includes the software, technology, services, and data personnel in a single service.<\/span>[\/vc_column_text][\/vc_tta_section][vc_tta_section title=”What Is Compliance-As-A-Service (CaaS) From INDATA?” tab_id=”1751928022882-2d5b657e-13ac”][vc_column_text css=””]INDATA’s <\/span>compliance-as-a-service <\/span>provides a complete compliance solution for investment firms. The services include support for INDATA\u2019s 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.\u00a0<\/span><\/p>\n

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.<\/span><\/p>\n

By working with INDATA, investment management organizations can streamline their compliance processes and minimize risk exposure. <\/span>[\/vc_column_text][\/vc_tta_section][vc_tta_section title=”Who Can Use INDATA\u2019s CaaS Offering?” tab_id=”1751928051462-0ce1e1b1-bea6″][vc_column_text css=””]INDATA has designed <\/span>CaaS compliance<\/span> 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.<\/span><\/p>\n

Compliance-as-a-service<\/span> encompasses the entire lifecycle of a transaction, including pre-trade and post-trade activities. <\/span>[\/vc_column_text][\/vc_tta_section][vc_tta_section title=”What Specific Compliance Functions Can INDATA\u2019s CaaS Help With?” tab_id=”1751928070044-9163409d-dec8″][vc_column_text css=””]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.<\/span><\/p>\n

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.\u00a0<\/span><\/p>\n

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.\u00a0 <\/span>[\/vc_column_text][\/vc_tta_section][vc_tta_section title=”What Are the Primary Benefits of Choosing INDATA as a Compliance-As-A-Service Provider?” tab_id=”1751928122370-d19928fe-c305″][vc_column_text css=””]Working with a <\/span>compliance-as-a-service provider <\/span>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.<\/span><\/p>\n

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.<\/span>[\/vc_column_text][\/vc_tta_section][vc_tta_section title=”How Does INDATA\u2019s Technology Platform Support Its Compliance-As-A-Service Solution?” tab_id=”1751928145858-7b38b142-f8c6″][vc_column_text css=””]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.<\/span>[\/vc_column_text][\/vc_tta_section][\/vc_tta_accordion][\/vc_column][\/vc_row][vc_row bg_type=”color” bg_color=”#f8f8f8″ padding_top=”80px” padding_bottom=”20px” el_class=”resources-blog-section”][vc_column][vc_custom_heading text=”ADDITIONAL RESOURCES” font_container=”tag:h2|text_align:center|color:%2376a4b9″ google_fonts=”font_family:Open%20Sans%3A300%2C300italic%2Cregular%2Citalic%2C600%2C600italic%2C700%2C700italic%2C800%2C800italic|font_style:300%20light%20regular%3A300%3Anormal” css=”.vc_custom_1691790236553{margin-bottom: 40px !important;}”]\t\t

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Each role within an investment firm has defined responsibilities and mandates. Traders, portfolio managers, and compliance officers have different functions. However, they do have the shared goal of growing AUM for the firm.\u00a0…<\/p>read more<\/span><\/a><\/div>\t\t\t\t\t\t<\/div>\r\n\t\t\t\t\t\r\n\t\t\t\t<\/div>\t\t\t<\/article>\r\n\r\n\t\t\t<\/div>\r\n\t\t<\/div>\r\n[\/vc_column][\/vc_row][vc_row middle_content=”yes” bg_type=”image” bg_image=”3276″ footer_feature=”yes” padding_top=”60px” padding_bottom=”60px” el_class=”request-demo-section”][vc_column width=”1\/2″][vc_custom_heading text=”REQUEST A DEMO” font_container=”tag:h2|text_align:left|color:%23ffffff” google_fonts=”font_family:Open%20Sans%3A300%2C300italic%2Cregular%2Citalic%2C600%2C600italic%2C700%2C700italic%2C800%2C800italic|font_style:300%20light%20regular%3A300%3Anormal”][vc_column_text]Complete the form below to learn more about <\/span>Compliance-as-a-Service<\/span>. An INDATA team member will be in touch to discuss simplifying and improving workflows.<\/span>[\/vc_column_text][\/vc_column][vc_column width=”1\/2″ el_class=”custom-form-wrap” css=”.vc_custom_1690541639098{padding-left: 100px !important;}”]