Streamline pre-, intra- and post-trade compliance with regulations, client guidelines, house limits and portfolio managers’ preferences
thinkFolio provides the robust, automated compliance functionality that investment managers need as they adapt to new regulatory requirements, manage heterogeneous client mandates and seek to raise additional capital.
The thinkFolio multi-asset investment platform supports pre-, intra- and post-trade compliance with regulations, client guidelines, house limits and portfolio managers’ preferences. It includes configurable investment compliance rules, user administration functionality, a detailed audit trail of all actions and four-eyes checks.
Users have access to standard templates for many of the most common rules (including regulations such as UCITS, the 1940 Act and Regulation 28), which they can edit and customize as required. They are also empowered to implement their own proprietary rules. Compliance can then be monitored and managed via a dashboard.
This compliance system is designed from start to finish to give investment managers, their clients and regulators confidence in the operation of the firm.