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thinkFolio: Compliance

Streamline pre-, intra- and post-trade compliance with regulations, client guidelines, house limits and portfolio managers’ preferences

thinkFolio provides the robust, automated compliance functionality that investment managers need as they adapt to new regulatory requirements, manage heterogeneous client mandates and seek to raise additional capital.

The thinkFolio multi-asset investment platform supports pre-, intra- and post-trade compliance with regulations, client guidelines, house limits and portfolio managers’ preferences. It includes configurable investment compliance rules, user administration functionality, a detailed audit trail of all actions and four-eyes checks.

Users have access to standard templates for many of the most common rules (including regulations such as UCITS, the 1940 Act and Regulation 28), which they can edit and customize as required. They are also empowered to implement their own proprietary rules. Compliance can then be monitored and managed via a dashboard.

This compliance system is designed from start to finish to give investment managers, their clients and regulators confidence in the operation of the firm.

Key benefits:

  • User-friendly - thinkFolio’s compliance functionality is both robust and easy to use. No knowledge of coding or specific programming is required to configure and manage rules.

  • Granular analysis - thinkFolio takes a granular approach to evaluating limit breaches. This includes assessing the underlying exposures of composite instruments and derivatives. This level of analysis provides additional comfort to portfolio managers and their clients.

  • Flexible dashboard - A dashboard and workflow tool enable users to manage compliance alerts from the first breach to the point of archiving. It enables users to drill down and understand the status of each alert and view an audit trail for each breach.

  • Active community - IHS Markit has a team of regulatory and industry experts, and hosts regular events where clients can exchange opinions on the latest trends and developments with one another and our specialists.

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