Compliance

Compliance 2017-09-13T17:37:51+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

Maximum Transaction Amount Per Currency: The amount selected for any individual transaction in a ticket cannot exceed a specified amount for a specific currency.

The Compliance Tab provides rule status monitoring and editing.

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