FA Platform for Compliance department

Satisfy your stakeholders with tailor-made compliance processes

The Compliance Department of any financial institution has a hefty and burdensome task delegated to them. It is responsible for identifying, preventing, monitoring, detecting, and resolving any internal or external compliance risks.

With the FA Platform, we enable you to create, modify and classify compliance rules based on your needs directly through the user interface, as well as display or report the results of compliance checks in the Platform. Your pre-trade and post-trade compliance processes are defined based on your needs with the help of our decades of experience. For example, the rules for a Pension Fund are different than the rules for Banks, Asset Managers, and Fund Managers. There is a growing pressure for all to have the right tools to control the business.

FA Solutions’ Compliance breaks down into three distinct categories: Portfolio, Companywide, and Regulatory Compliance features. Below you will find a single feature highlighted from each category.

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Portfolios

User-defined limit definitions. Limits allow you to flexibly set up limit definitions or rules your portfolio’s contents should fulfill, and analyze limits to see if any of your limits are breached. For example, a limit can state that holdings emitted by a single issuer should not exceed 35% of your portfolio’s total value – when analyzed, the limit can pass as OK, be breached, or induce a warning. Limits are especially useful for compliance with the UCITS directive for certain funds. However, limits can extensively be used to maintain and follow any kinds of investment limits for various purposes, such as compliance, investment policy, and diversification.

Company-wide

User permissions. Each user has their own user ID and password. Through this, we are able to derive an audit trail and create different user permissions. These permissions define what a user can view, modify, create, delete, or launch within the FA Platform, allowing distinct differences in each user’s experience within the FA Platform. For example, in a larger asset management company, an asset manager can only view their own clients within our Platform. This asset manager’s team can only perform trades or produce reports for the clients that they are allowed to see. All of this can be edited through the user interface by administrative or compliance users.

Regulatory Compliance

The FA Platform is MiFID II, MiFIR, FATCA/CRS, and GDPR compliant, to name a few. The measures we take to comply with each regulation are listed below.