REGULATORY AND COMPLIANCE SOLUTIONS
For Custodians and Sub-Custodians
An interoperable ecosystem of technology, data and managed services helps global and local custodians stay one step ahead of regulatory change, resource constraints, and complex compliance and audit requirements.
Streamline the custodian workflow from end to end
Many custodians and sub-custodians still rely on email, spreadsheets, and fragmented point solutions. But first-generation technologies can't deliver the accuracy, speed, and transparency needed to manage complex regulatory and compliance workflows.
Client Lifecycle and Regulatory Solutions offer an interoperable ecosystem of technology and data capabilities that streamlines the exchange of data and documentation across the chain of client to custodian to sub-custodian.
By centralizing and automating the flow of information, you can eliminate rekeying, create transparent audit trails and future-proof your organization.
Highly configurable and interoperable, The Regulatory and Compliance Solutions available from S&P Global are designed to align with your unique processes and technologies and help you keep pace with rapid change. Whether you want to accelerate digital transformation or make incremental improvements over time, these tools help you transition to a centralized, automated system on a timeline that fits your goals.
Key Benefits
Centralized
Avoid bifurcation by supporting parallel workflows for all clients and processes on a single platform. Centralized technology and industry models enable you to achieve the highest levels of transparency, efficiency and straight-through processing.
End to end
Digitise regulatory and compliance processes from end to end, including account opening andlocal market onboarding with your sub-custodian onboarding and progress tracking.
Configurable
Adapt quickly to regulatory or process change with flexible,
highly configurable workflows, policies, and user roles that eliminate the need for costly customizations and lengthy implementations that hamper global roll-out.
Interoperable
Interact with counterparts and third parties and integrate seamlessly with internal systems and third-party platforms with a universal set of open APIs from trusted sources.
Key Features
Reference data
Ingest, augment and manage reference data including entity data, AUM/NAV, certificate compliance.
Document management
Manage the contract lifecycle, digitize documentation, extract intelligence from digital documents and manage negotiations.
Workflows
Streamline the client lifecycle from end to end, including onboarding, account opening and lifecycle events management, STP automation, outreach, KYC and offboarding.
Regulatory compliance
Manage regulatory compliance, ISDA protocols and regulatory standardization using protocols, certificates and data from ISDA Amend.
Optimize the flow of data and documentation across the custodian chain
Custodians
Pass account-opening data and documentation directly to local market participants and provide direct transparency to clients on the status of requests
Sub-custodians
Scale up to support high transaction volumes across multiple global custodians with a configurable workflow that reflects the unique regulatory requirements of your jurisdiction.
Request Follow Up
Want to learn more about Regulatory and Compliance Solutions for Private Markets? Complete this short form to speak with one of our specialists.