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Post-Trade Compliance

Confluence's Post-Trade Compliance solution ensures data integrity and independent oversight of the post-trade compliance process. It is designed specifically to enable the back office to automate the process of collecting and managing portfolio holdings and security data, creating restrictions, confirming test results, and delivering the test results and exceptions to users such as fund managers, compliance executives, board members, auditors and regulators. Reduce costs, eliminate risk, elevate service levels and increase scalability, while giving your organization a cost-effective and scalable solution.

Unlike manual processes or other compliance systems not designed solely for fund administrators, the Post-Trade Compliance solution is a cost-effective system for post-trade compliance data management and compliance testing. And, because it is designed for easy set up and maintenance by the business users, they are freed from dependence on IT staff and gain greater control and speed over post-trade compliance processes.

Key Benefits

  • Leverage the restriction rules library for standard and prospectus compliance testing
  • Automate compliance testing to provide increased frequency, including daily results and exceptions reporting
  • Provide your Compliance Executive and Board with peace of mind knowing that portfolios and funds are in compliance with required investment limit restrictions

Confluence's Post-Trade Compliance solution ensures data integrity and independent oversight of the post-trade compliance process. It is designed specifically to enable the back office to automate the process of collecting and managing portfolio holdings and security data, creating restrictions, confirming test results, and delivering the test results and exceptions to users such as fund managers, compliance executives, board members, auditors and regulators. Reduce costs, eliminate risk, elevate service levels and increase scalability, while giving your organization a cost-effective and scalable solution.

Unlike manual processes or other compliance systems not designed solely for fund administrators, the Post-Trade Compliance solution is a cost-effective system for post-trade compliance data management and compliance testing. And, because it is designed for easy set up and maintenance by the business users, they are freed from dependence on IT staff and gain greater control and speed over post-trade compliance processes.

Key Benefits

  • Leverage the restriction rules library for standard and prospectus compliance testing
  • Automate compliance testing to provide increased frequency, including daily results and exceptions reporting
  • Provide your Compliance Executive and Board with peace of mind knowing that portfolios and funds are in compliance with required investment limit restrictions

How Post-Trade Compliance Works

Collect – Automatically collect portfolio, holdings and security-level data from your fund accounting system and other third-party sources.

Create – Easily set up restrictions using a standard restrictions library or by creating customized restrictions, establish warning and failure thresholds, assign restrictions to portfolios, and establish the frequency of testing and notifications. Create data validation rules to verify the integrity of data for testing.

Confirm – Access test results dashboard to analyze and resolve data exceptions and test warnings and failures. Automatically create an audit log of exceptions and actions taken.

Deliver – Automatically escalate test exceptions via email. Produce restrictions summary and historical test results for your Compliance Executive, Board, auditors and regulators.

Post-Trade Compliance lets you automatically create

  • Standard and prospectus compliance tests using the restrictions rules library
  • Daily reports required for compliance tests with exceptions noted
  • Reports suitable for your Compliance Executive, Board, auditors and examiners