Compliance

Compliance 2017-05-15T21:57:58+00:00

ICD’s front and backend compliance features help clients conform to their investment guidelines.

Maximum % of Assets Under Management: Total investments cannot exceed a set percentage of a fund’s assets under management.

Maximum Notional Investment in Any Fund: Investment cannot exceed a specified amount for any fund.

Maximum Notional Investment in a Specific Fund: Investment cannot exceed a specified amount for a specific fund.

Minimum 7-day Liquidity: Alerts are sent to clients with positions in MMFs that fall below the established liquidity minimums

The Compliance Tab provides rule status monitoring and editing.

  • Manage Rights
  • Trade Ticket Display
  • Back-End Notifications
Compliance