Investment Compliance Leveraging technology and domain expertise to enhance the capabilities of the trade surveillance and investment compliance function and enable teams to manage reputational and financial risk Investment Compliance Services Acuity Knowledge Partners’ (Acuity’s) Investment compliance support across pre- and post-trade monitoring, guideline interpretation and coding and trade surveillance has enabled compliance functions to do more with less . We help our clients protect themselves against reputational and financial risk as a result of guideline breaches, incorrect trades, market abuse and insider trading. Our team of experts has a unique combination of skill sets. They have extensive experience in order management/compliance systems such as Bloomberg AIM, Ion’s Latent Zero Sentinel, Charles River Database (CRIMS), LDC, ThinkFolio and BlackRock’s Aladdin, BTCA and SMARTS. They also bring deep domain understanding such as the Investment compliance monitoring functions and knowledge of global regulations such as the Investment Company Act of 1940, UCITS, Inv-G, ERISA, FINRA, the Securities Act of 1933, SFC, MpFA, FSA and APRA. Who we serve Asset and Private Wealth Managers Trade Surveillance and Investment Compliance Services Support we offer Guideline Coding, Maintenance & Reviews Onboarding new funds, client accounts (institutional, private clients & general accounts) Interpretation and analysis of guidelines (IMA, prospectus, SAI etc.) Creation and/or adding rules per guidelines on investment compliance platform Account hierarchy mapping, documentation and process hygiene flows Quality Check and simulation testing for validation of rules and their output Guideline mandate revisions/amendments Testing and auditing of amended rules as well as not amended existing rules List creation, updates and maintenance Rule optimizations and/ or updating rules per system enhancements Rule coding standardization through universal rules and rule libraries Scrubbing existing accounts to incorporate new logics and enhancements Account termination or closure process. Pre & Post- Trade Monitoring Client reporting Other Activities Trade Surveillance Explore Client Segments Asset and Private Wealth Managers Brokerages and Trading Firms Commercial and Regional Banks Consulting and Corporate Firms Corporate and Investment Banks Market Research Firms Private Equity and Venture Capital Firms Specialist Advisory Firms For All Solutions How we are different We implement industry best practices for pre- and post-trade monitoring, rule testing and documentation to create an efficient and robust process framework. We are experienced in compliance tools such as Sentinel, Charles River, Bloomberg AIM, and BlackRock‘s Aladdin. We have the expertise to compile investment policies based on categories and asset classifications, which could be further leveraged to build innovative automation solutions for investment compliance services and assist in investment decision making. We provide simulation and real-time validations for compliance in pre-trade and post-trade activity and while executing what-if scenarios to ensure all risks are covered and every anomaly is captured. We conduct deep-dive analyses to help design efficient investment compliance services operating models for gap analysis (on regulatory changes) and incorporate the changes to make the solution more efficient and effective in any compliance environment. What we have done Post-Trade Monitoring Support – Large Global Asset Manager What we are proud of USD1m in operating cost savings 100% on time delivery READ MORE 1 / 2 SEE ALL CASE STUDIES In the News COMPLIANCE PODCAST NETWORK “Innovation in compliance with Tom Fox- Knowledge process outsourcing with Jehan Jeyaretnam” READ MORE COMPLIANCE WEEK “Done right, outsourcing compliance can be rewarding” READ MORE CORPORATE COMPLIANCE INSIGHTS “Biden’s Inauguration Heralds a New Era in Financial Regulation” READ MORE Our perspective on Investment Compliance Blog Rising investor demand for ESG in their portfolios “Investments are subje..... Read More November 22, 2021 bloomberg , bloombergbuyside , bloombergterminal Blog Democratisation of Alternative Assets Using Tokenisation What comes first to your..... Read More July 19, 2021 alternativeinvestments , Blockchain , blockchainsolutions Blog What is replacing the traditional 60/40 portfolio ratio? For decades, investors h..... Read More February 17, 2021 bondmarket , Compliance , complianceservices LOAD MORE Meet our experts Rahul Narsian Assistant Director, Investment Compliance Jehan Jeyaretnam Director, Head of Compliance Services Puneet Prakash Associate Director, Product Head, Compliance Support United States Costa Rica United Kingdom Sri Lanka China Hong Kong India Mauritius More ways to stay connected with us Sign up for our newsletter Newsroom CONTACT@ACUITYKP.COM Terms of Use Privacy Policy Sitemap Copyright © 2021 Acuity Knowledge Partners. All Rights Reserved