In the current regulatory environment, you need to ensure that your investments are compliant with all applicable laws, regulations, and other constraints.

With FA’s Compliance - Investment Restrictions you can integrate investment allocation limits together with pre- and post-trade compliance seamlessly into your workflows.

FA’s Compliance - Regulatory provides you with tools for regulatory reporting, such as MiFID II and GDPR, and supports monitoring of both external and internal requirements from company-level rules to portfolio-specific restrictions.

FA Platform

Key functionalities

Compliance – Investment Restrictions
  • Define investment limits

  • Analyze, check and monitor limits on your portfolios

  • Track portfolio drift

Compliance – Regulatory
  • Monitor your customers and portfolios

  • Generate regulatory reports

  • Validate your data with 4-eyes principle