Solutions
Investment Compliance
Our investment compliance monitoring solutions quickly and objectively analyze whether you are meeting specified guidelines, industry requirements and regulations. From the simplest requirement to the most complex quantitative procedures, your documented restrictions and limitations are applied across one or multiple portfolios. You can actively monitor your investments against management policies on a post-trade, pre-settlement date basis.
At the foundation of our solution is a customizable platform that provides consistency, scale and flexibility to help you keep track of changing regulations affecting your investment portfolio. The platform provides independent compliance oversight of regulatory and investment policies that can handle multi-asset complex funds.
We conduct a wide range of tests including concentration limits, prohibited securities and/or industries, credit ratings, portfolio comparisons to benchmarks, counterparty exposure, global exposure through commitment approach and leverage/overdraft monitoring. We can deliver compliance monitoring daily, weekly, monthly or quarterly, with tests performed at security, portfolio or composite levels, in addition to look-through capabilities.
Compliance and oversight
Our global, post-trade investment compliance service monitors and reviews the restrictions on your funds efficiently and accurately, so you can stay focused on your business goals.
With our Charles River Investment Management Solution, we provide holistic, front-to-back services for our clients’ investment compliance challenges across asset classes, fund types and jurisdictions.
Compliance dashboard
With our streamlined capabilities and end-to-end technology integration, our online delivery portal, MyStateStreet Compliance Dashboard, presents all alerts and warnings in one accessible portal, delivering a high-level snapshot of your results. You can easily drill down for more details – or run trending reports with full audit capabilities and rule transparency – to head off potential breaches and take action as necessary.
Other services
Our investment compliance product can be taken as a full-service solution, or can be customized with additional options based on fund type, strategy or regional and regulatory needs. With our full-service offering, you can benefit from an end-to-end solution with technology that is fully integrated with our accounting platform and can be customized to meet your requirements.
Why State Street
With a global footprint, we operate standard policies and procedures to ensure consistency, scale and flexibility. We offer completely automated and integrated end-to-end solutions, and we constantly monitor the shifts in regulations across the globe, assessing how these changes affect our compliance tests and adapting them accordingly.
We provide a front-to-back, scalable and customizable solution for our clients through the State Street AlphaSM platform. Our data augmentation processes, integrated with our compliance technology platform, limit manual intervention and mitigate risk. Many of our clients employing Charles River Development’s technology in their pre-trade in-house compliance will now have added benefits using our Charles River Development post-trade solution, making headway for more opportunities.
By the Numbers
Years of providing ex-post investment compliance monitoring services. i
Of assets have been accumulated during the 30 years of providing compliance monitoring services. ii
Global clients use our service, including asset managers, banks, government pension funds, insurance clients and sovereign wealth funds. iii
