Buy-side Compliance Service

A comprehensive due diligence solution that enables buy-side firms to distribute a survey to their service providers and counterparties and track their responses

Due to an increase in regulatory requirements, buy-side firms have a growing need to implement a formalized process for assessing counterparty relationships and understanding their business processes. Our Compliance product is a comprehensive due diligence solution that enables buy-side firms to distribute a survey to their service providers and counterparties and track their responses. It allows buy-side firms to manage their counterparty relationships by identifying policies, procedures and attestations in a consolidated environment. Counterparties only need to respond once on behalf of all their relationships, encouraging a timely response for buy-side review.

Key benefits:

  • Automated response tracking – Track counterparty responses in a consolidated environment for a timely review
  • Historical record – Keep record of counterparties’ compliance, research and trading policies
  • Dashboard view – Easily determine the compliance status of participating counterparties in the event of a regulatory review
  • Efficiency – Answer or attest to a survey only once for it to be used by all buy-side relationships
  • Flexibility – Adapt to changing regulation through annual revisions to survey questions – easily edit surveys for up-to-date compliance validation
  • Security – Store in a central location internal documents and meeting notes regarding compliance processes for secure use
  • Contact records – Maintain contact information and detailed profiles of all the firm’s counterparties
  • Holistic solution – Eliminate the need to maintain an internal process for assessing counterparty relationships, which can be laborious and time consuming

Customers

  • Asset managers
  • Hedge funds
  • Pension funds

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