With State Street Investment Analytics' investment compliance services, institutional investors gain broad access to vital investment monitoring reports, tailored to explicit strategy guidelines - without having to invest heavily in new systems or staff. The customization capabilities of our services streamline the process, helping customers to monitor investments quickly and objectively and ensure adherence to investment strategies.

Our investment compliance services provide customized reporting capabilities that streamline and simplify our customers' portfolio monitoring process. From the simplest restriction to the most complex quantitative guidelines, State Street Investment Analytics can easily apply customer-specified investment rules and limitations to single or multiple portfolios. By using information available through our proprietary custody and accounting system, customers can perform tests at any desired portfolio level for a wide range of criteria including asset mix, benchmarks, quality ratings and leverage restrictions. Advanced look through capabilities incorporate fund-of-funds holdings and other commingled investment products to provide comprehensive compliance monitoring across all holdings.

From the simplest restriction to the most complex quantitative guidelines, State Street Investment Analytics can easily apply rules and limitations to single or multiple portfolios. By using information available through State Street’s proprietary custody and accounting system, tests can be performed at any desired portfolio level for a wide range of criteria including asset mix, benchmarks, quality ratings, and leverage restrictions. Advanced look-through capabilities incorporate fund-of-funds holdings and other commingled investment products to provide comprehensive compliance monitoring across all holdings.

State Street Investment Analytics offers a range of service levels to meet diverse investor needs. A centralized team of experienced compliance specialists works closely with customers to determine the best, most complete approach and service model to meet exact specifications. The compliance specialists collaborate with customers to interpret investment guidelines and suggest a selection of monitoring approaches, then implement tests scheduled on a daily or monthly basis in a post-trade environment. For customers with more complex reporting needs, the specialists may design and perform unique tests when necessary. They may also validate and research violations.

Our dedicated compliance service team, through an array of service model offerings, can further simplify the monitoring process by offering services such as: breach notification via email and/or phone, exception resolution including validation and researching of violations, and supplemental reporting.

For additional information please refer to the Investment Compliance product sheet or contact Ash Tahbazian at 416-956-2983 or email atahbazian@statestreet.com.