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Investment Compliance Software

Compliance today is a regulatory maze, with higher costs, technology challenges and increased complexity. Turn to us to stay up to date on the latest regulatory changes relevant to you — across risk, collateral, and pre- and post-trade reporting.

We manage the administration of regulatory, prospectus and internal investment guidelines, and resolution workflows. With our flexible rules engine and advanced breach analysis, breakdown and resolution management tools, you’ll have fully auditable control of the investment process. And with the GX Compliance LawCard®*, you’ll have the regulatory research you need.

You can choose to have our compliance software (MIG21) hosted plus service or just have the software installed locally. Complete with data management and trading system interfaces, our system is your one-stop navigation tool for the regulatory road ahead. And a dedicated reporting tool gives you a full view of your organization’s regulatory risk.

Investment Compliance Modules

With the complete, automated monitoring offered by our platform, you can comply with and adapt to new regulations, while reducing your costs for investment controls.

Our investment compliance modules include:


At the heart of the system is the compliance officer’s toolbox. Rules are defined and tested individually here, as well as the breaches and their breakdown are displayed and appropriate actions are taken.

Advanced Breach Management

The Advanced Breach Management capability helps you to enhance organizational efficiency, communication transparency and collaboration. Through an intuitive workflow engine, you can actively monitor compliance results from detection until resolution. It helps you escalate thousands of active and passive breaches, detect missing data and ensure necessary actions like emails and reporting are performed on time — automated to the highest possible degree.  

Data Manager

Your compliance reporting depends on real-time master data, market and reference information, so you can avoid data-related checking errors from missing or inaccurate data. With our Data Manager module, you’ll have accurate, easy data collection, correction and enrichment, as well as data entry and data location — minimizing your compliance errors.

External Data Feed Connector

For easy, timely information retrieval from market data providers, you need intelligent straight-through processing (STP). Our STP capabilities now include the Bloomberg Data Feed Connector for our GX Compliance Data Manager — giving you automatic Bloomberg data feeds to help improve your data quality. And the Bloomberg Data Feed Connector comes with a calendar-based scheduler, configuring your recurrent data requests, and a Data Feed Monitor to let you control the data requests issued to FTP Bloomberg.

Fund Validation Work Flow

Net Asset Value (NAV) reporting is as essential as your legal, contractual and client-specific investment restrictions. To manage reputational risk, you need your platform to detect possible NAV calculation mistakes. Our GX Compliance Fund Validation Workflow module uses pre-configured compliance rules, so fund accounting is automatically updated when the NAV can or can’t be published.

Report Center

With global regulation demanding more transparency from internal and external parties, your need to collect, file and report highly detailed data is greater than ever. With the GX Compliance Report Center, you’ll have options to administer reports and generate them as needed, based on your business. You can design reports individually or base them on our ready-to-use report templates, and designate whether they deliver online or by email. And you can set your reports to generate based on a scheduled time or event.

Compliance Studio

You need a platform that meets your needs, in an intuitive package — so you can work the way that best fits your business. With GX Compliance Studio, our central configuration module for GX Compliance, you’ll have all the configuration functionalities you need, in a modern, easy-to-navigate interface.

*Our LawCard service helps investment organizations rapidly expand compliance monitoring to new legal jurisdictions and adapt to new regulations — without typical overhead or delay.