Linedata compliance

In European and Asian markets, we undertake the regular monitoring of fund portfolios to ensure compliance with the investment restrictions defined in the fund’s regulations, and the fund-specific investment restrictions and objectives as stated in the prospectus. The timely and accurate monitoring of these restrictions, and reporting to fund managers, is facilitated through our compliance monitoring system, Linedata compliance. Reporting from Linedata compliance allows us to highlight areas of potential investment breach, which is then transmitted to the fund manager for follow-up. If an investment breach is identified, our team promptly analyses the factors that contributed to the situation, and liaises with the fund manager to correct the position. Non-compliance trends are closely monitored and shared with the appropriate regulator and Board of directors where applicable.

We understand the tremendous value associated with maintaining ongoing dialogue with fund managers – the benefits of which are ultimately shared with both your clients and their investors.

Australia compliance

In Australia, we offer objective, third party verification of fund-wide compliance with regulations and investment rules. We provide daily monitoring of your portfolio and its holdings and can set compliance alerts that warn you when portfolios are approaching breach limits.

Utilising a powerful "rule-building" engine from Charles River Development, our service covers a broad spectrum of instruments in any currency including fixed income, equity, exchange-traded funds, asset-backed securities and derivatives. This built-in logic allows us to create customised tests of holdings, asset allocation and diversification. Whenever policies or rules change, our compliance tests can be readily adjusted. You stay in control. Standard monitoring rules include cash weighting restrictions, individual stock weighting restrictions, issued capital and marketing capitalisation restrictions, authorised holdings, fixed interest analytics, credit ratings restrictions, gearing and leveraging restrictions and short selling.

Clients benefit from customised solutions without investing in specialised software, hardware, database management or ongoing maintenance. Let our technology work for you.

Compliance reporter (Canada)

In Canada, our compliance reporting capabilities offer fund sponsors – and their asset managers – a reliable way to minimise compliance risk and provide objective, multi-level disclosure as it audits plan-wide compliance with regulations and SIP&P (Statement of Investment Policies and Procedures) guidelines. In addition, mandate-specific reports flag any transgressions by individual portfolio managers. Compliance reports also reveal proximity to critical thresholds and cover a broad spectrum of instruments in any currency, including fixed income, equity, exchange-traded funds, and asset-backed securities.

Driven by a powerful "rule-building" engine from Charles River Development, our compliance service is scalable and flexible. Built-in logic allows us to create custom tests of holdings, asset allocation and diversification. Whenever policies or rules change, compliance tests can be adjusted readily. We put our technology to work for you.