Tradar Insight: Compliance
The pre and post-trade compliance solution
For over a decade, Tradar has been a leading provider of technology and investment solutions to the asset management community. Now established in major financial centres around the world, Tradar offers a comprehensive, flexible and adaptable portfolio management and trading product that comes fully-featured but can easily be adapted to the way you work.
Tradar Compliance integrates seamlessly with the asset management and trading suite, and can be used to check all regulatory and in-house compliance restrictions in ad-hoc, pre-trade and post-trade modes.
Key benefits include:
- Pre-defined investment restriction library
- Automatic pre-trade restriction checking upon acceptance of new orders
- Scheduled post-trade restriction checking for executed orders
- Ad-hoc checking of proposed orders
- Support for hard and soft limits
- Support for the UCITS III investment restrictions
- Complete audit trail of all compliance activity
- Exposure monitoring by multiple portfolio attributes
Pre-defined investment restriction library
Tradar Insight incorporates a comprehensive suite of compliance restrictions for all commonly encountered situations. These can be tailored by the user with multiple parameters per restriction. Custom restrictions can be provided by Tradar at the customer’s request.
Tradar Insight incorporates a comprehensive suite of compliance restrictions for all commonly encountered situations. These can be tailored by the user with multiple parameters per restriction. Custom restrictions can be provided by Tradar at the customer’s request.
Automatic pre-trade restriction checking
Captured trades are automatically compliance-checked when they are accepted into Insight. Batch checking prevents acceptance of a linked group of trades if one or more fails compliance.
Captured trades are automatically compliance-checked when they are accepted into Insight. Batch checking prevents acceptance of a linked group of trades if one or more fails compliance.
Scheduled post-trade restriction checking
Posted orders can be checked again in post-trade mode; this is done by scheduling a batch run of compliance, either ad-hoc, at end of day, or overnight.
Ad-hoc compliance
Before orders are accepted into Tradar, or for provisional orders, ad-hoc compliance can be run by the fund manager to check for potential breaches.
Before orders are accepted into Tradar, or for provisional orders, ad-hoc compliance can be run by the fund manager to check for potential breaches.
Hard and soft limits
Restrictions can be set to generate warnings - which the fund manager can always override - or alerts, which can be configured to require a higher level of authorisation.
Restrictions can be set to generate warnings - which the fund manager can always override - or alerts, which can be configured to require a higher level of authorisation.
UCITS III support
Tradar Insight comes with a complete set of restrictions to support the UCITS III rules.
Tradar Insight comes with a complete set of restrictions to support the UCITS III rules.
Complete audit trail
Tradar compliance reports include a comprehensive audit trail of all checks carried out, all breaches generated, and the action taken to resolve them.
Tradar compliance reports include a comprehensive audit trail of all checks carried out, all breaches generated, and the action taken to resolve them.
Exposure Monitoring
Portfolio exposure can be produced at user-defined levels of detail. Comparisons can be made to standard or custom NAV. Multiple criteria can be used to evaluate an order’s state of compliance.
Portfolio exposure can be produced at user-defined levels of detail. Comparisons can be made to standard or custom NAV. Multiple criteria can be used to evaluate an order’s state of compliance.