FactSet Portfolio Compliance from FactSet

Integrated compliance monitoring with pre- and post-trade compliance checks, rule-based monitoring, automated breach notifications, customizable dashboards, and detailed reporting. Supports multiple asset classes and regulatory frameworks.

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Investment Compliance Monitoring for Risk & Compliance

Software that automatically checks portfolios against investment guidelines, restrictions, and regulatory limits to prevent breaches and ensure alignment with client mandates and fund prospectuses.
More Investment Compliance Monitoring More Risk & Compliance ...

Regulatory Rule Coverage
(0 Yes /0 Known /10 Possible features)

Monitoring & Surveillance
(0 Yes /0 Known /10 Possible features)

Data Integration & Quality
(0 Yes /0 Known /10 Possible features)

Usability & Configurability
(0 Yes /0 Known /10 Possible features)

Performance & Scalability
(0 Yes /0 Known /10 Possible features)

Reporting, Analytics & Audit
(0 Yes /0 Known /10 Possible features)

Security & Access Control
(0 Yes /0 Known /10 Possible features)

Integration & Interoperability
(0 Yes /0 Known /10 Possible features)

Vendor Support & Service
(0 Yes /0 Known /10 Possible features)

Cost, Licensing & Deployment Options
(0 Yes /0 Known /10 Possible features)

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Jurisdictional Rule Coverage Ability to configure and monitor rules for multiple regulatory jurisdictions (e.g., SEC, ESMA, MAS).		No information available
Custom Rule Building Allows creation and customization of bespoke compliance rules in addition to standard regulatory rules.		No information available
Pre-built Regulatory Rule Library Availability of an out-of-the-box library of commonly required investment compliance rules.		No information available
Real-Time Rule Updates Frequency and automation level of updates for changes in regulations and market rules.		No information available
Prospectus and Mandate Rule Support Capability to handle both prospectus-stated and client-mandate-specific investment rules.		No information available
Rule Versioning & Audit Trail Tracks changes to rules for audit and historical review purposes.		No information available
Automated Rule Validation Automatic validation of rules before they are activated or applied.		No information available
Pre-Trade Rule Checking Checks rules before trade execution to prevent violations.		No information available
Post-Trade Rule Checking Performs compliance checks after trade execution for further assurance.		No information available
Rule Dependency Management Manages rule hierarchies and dependencies (e.g., prioritizing fund-level over regulatory rules where applicable).		No information available

Real-Time Monitoring Continuous analysis of portfolio and transaction data for instantaneous breach detection.		No information available
Manual Surveillance Mode Allows user-initiated or scheduled compliance checks.		No information available
Automated Breach Detection Automated flagging of compliance violations as they occur.		No information available
Threshold Alerting Configurable thresholds for alerts prior to actual breaches.		No information available
Exception Management Dashboard Centralized dashboard for managing exceptions and investigating breaches.		No information available
Intraday Monitoring Frequency Maximum frequency with which compliance checks can be carried out.		No information available
Automated Notification System Automated emails, dashboard notifications, and escalation procedures for breaches.		No information available
Behavioral Surveillance Monitors patterns for unusual trading activity that may signal market abuse or insider activity.		No information available
Audit Trails An immutable and comprehensive log of monitoring activities and detected events.		No information available
Breaches Remediation Workflow Built-in processes and task assignments for resolving compliance breaches.		No information available

Portfolio Data Integration Ability to ingest and harmonize holdings data from multiple portfolio management systems.		No information available
Market Data Feeds Integration Automatic connection with relevant market data providers for pricing, benchmarks, and corporate actions.		No information available
Reference Data Management Management of securities master, issuer, and counterparty reference data essential to rule checking.		No information available
Trade/Transaction Data Ingestion Latency Time taken to reflect new trades/transactions in the system for compliance checking.		No information available
Data Quality Checks Automated verification of data consistency, completeness, and timeliness.		No information available
Data Enrichment Capabilities System capabilities to supplement core data with additional attributes for compliance logic.		No information available
Manual Data Input Support Interface for uploading or entering ad hoc or exceptional data.		No information available
API Connectivity Availability of APIs for data ingestion and export.		No information available
Data Source Auditing Tracking origins and transformations of data used in compliance monitoring.		No information available
Data Retention Policy Management Configurable rules for historical data archiving and retention, in line with regulations.		No information available

Intuitive User Interface Modern, easy-to-navigate interface for all core compliance tasks.		No information available
Role-Based Access Control Controlled access for different users (compliance officers, managers, auditors, etc.).		No information available
Configurable Dashboards User-customizable dashboards for key compliance metrics and alerts.		No information available
Custom Report Builder Drag-and-drop or template-driven reports for compliance and management use.		No information available
Multi-Language Support Availability of the system in different languages for global teams.		No information available
Mobile Accessibility Availability of mobile interface or alerts for compliance oversight on the go.		No information available
User Preferences Personalization of system layout, notifications, and content.		No information available
Bulk Actions Support Ability to handle large-scale changes (e.g., rule updates, trade loads) efficiently.		No information available
Audit Log Accessibility Easy access for users to view a log of compliance activities and changes.		No information available
Error Handling & Guidance Clear system feedback and help for resolving issues/misconfigurations.		No information available

Maximum Portfolio Capacity Total number of portfolios the system can monitor concurrently.		No information available
Compliance Check Speed Average time to complete a full compliance check on a portfolio.		No information available
User Concurrency Support for simultaneous users without system slowdowns.		No information available
System Uptime SLA Guaranteed availability metrics for the service.		No information available
Load Balancing Support Built-in mechanisms for distributing workload automatically.		No information available
Response Time under Peak Load System performance metrics during periods of highest demand.		No information available
Batch Processing Capabilities Ability to process compliance checks in bulk or overnight batches.		No information available
Dynamic Resource Scaling Cloud-native elasticity to scale infrastructure in real-time as demand increases.		No information available
High Availability Architecture Redundancy and failover for mission-critical compliance operations.		No information available
Geographical Redundancy Disaster recovery and continuity planning via multi-region support.		No information available

Regulatory Reporting Templates Prebuilt formats for common regulatory submissions (e.g., Form N-PORT, UCITS KIID).		No information available
Ad-hoc Reporting Ability to generate and customize reports on demand.		No information available
Breach Trend Analysis Analytics on breach frequency, causes, and trends over time.		No information available
Exception Heatmaps Visual summary of where and when compliance issues occur.		No information available
Export to Multiple Formats Download and share reports in PDF, Excel, CSV, and more.		No information available
Drill-Down Capabilities Interactive reports to explore data down to trade or rule level.		No information available
Customizable Periodic Reports Schedule daily, weekly, or monthly automated reports.		No information available
User Activity Audit Reports Track and report on compliance user actions for surveillance and governance.		No information available
Compliance Breach Archiving Secure and compliant storage of historical breach investigations.		No information available
Time to Generate Standard Report Average time to compile a standard compliance report.		No information available

Multi-Factor Authentication Enhanced login security with additional verification layers.		No information available
Single Sign-On Integration Supports SSO via LDAP, SAML, or cloud identity providers.		No information available
Granular Permissions Model Fine-tuned access rights by user role or group.		No information available
Encryption at Rest Data is encrypted when stored in system databases.		No information available
Encryption in Transit Data is encrypted while moving between systems.		No information available
Automated Session Timeout Automatic logout after user inactivity to prevent unauthorized access.		No information available
Data Masking Sensitive client or trade data is masked for certain users.		No information available
Audit Logging of Access Logging every login, administrative action, and data access.		No information available
Access Review Tools Periodic checks and attestation for user access rights.		No information available
GDPR/Local Data Privacy Compliance Data handling methodologies ensure compliance with privacy laws.		No information available

Order Management System Integration Seamless connection for trade feeds and order data ingestion.		No information available
Portfolio Accounting System Integration Ability to fetch positions, valuations, and transaction records.		No information available
Data Warehouse or BI Platform Integration Support for exporting compliance data to analytics or data warehouse environments.		No information available
Regulatory Submission Platform Integration Automated submission to electronic regulator portals.		No information available
API for 3rd Party Integration Comprehensive, documented APIs for all major functions.		No information available
File Import/Export (CSV, XML, JSON) Supports bulk and scheduled file exchanges for legacy integration.		No information available
Webhook/Real-Time Notification Integration Supports push notifications to other systems when key compliance events occur.		No information available
Reference Data Vendor Integration Plug-and-play integration to leading securities/reference data vendors.		No information available
Active Directory/LDAP Compatibility Supports directory services for enterprise user management.		No information available
Cloud-to-Cloud Integration Support Deploys and connects easily within cloud-centric infrastructures.		No information available

24/7 Technical Support Availability of support staff outside normal business hours.		No information available
Dedicated Account Manager Assigned resource for ongoing relationship and escalation.		No information available
Onboarding & Implementation Assistance Services for setup, migration, and initial training.		No information available
SLAs for Issue Resolution Contractual commitments around response and resolution times.		No information available
Product Training & Documentation Availability of up-to-date user manuals, how-to guides, and training sessions.		No information available
User Community & Forums Active knowledge exchange platforms and peer learning.		No information available
Incident Communication Protocols Clear and prompt updates from vendor for high-impact incidents.		No information available
Proactive Product Roadmap Updates Regular communications about new features and upgrades.		No information available
Custom Development/Enhancement Services Ability to commission bespoke features or integrations.		No information available
Online Ticketing & Self-Service Portal Web interface for issue logging and tracking resolutions.		No information available

Transparent Pricing Model Upfront disclosure of all costs (licenses, users, data, support, upgrades).		No information available
Flexible Licensing Options for subscription, perpetual, or usage-based licenses.		No information available
Pay-As-You-Go Option Pricing available based on actual portfolios or usage.		No information available
Multi-Tenancy Support Bulk pricing for organizations with multiple business units or geographies.		No information available
Cloud Deployment Option Available as SaaS or in major public clouds.		No information available
On-Premises Deployment Option Option for local installation in client data centers.		No information available
Hybrid Cloud Option Combining on-premises and cloud for greater flexibility.		No information available
Trial/Evaluation License Risk-free evaluation period for testing and analysis.		No information available
Cost Scalability Ability for pricing to scale up or down as team or portfolio numbers grow/shrink.		No information available
No Hidden Fees Assurance that all major costs are disclosed; no unplanned upcharges.		No information available

FactSet Portfolio Compliance from FactSet

Product analysis by function

Investment Compliance Monitoring for Risk & Compliance

Regulatory Rule Coverage (0 Yes /0 Known /10 Possible features)

Monitoring & Surveillance (0 Yes /0 Known /10 Possible features)

Data Integration & Quality (0 Yes /0 Known /10 Possible features)

Usability & Configurability (0 Yes /0 Known /10 Possible features)

Performance & Scalability (0 Yes /0 Known /10 Possible features)

Reporting, Analytics & Audit (0 Yes /0 Known /10 Possible features)

Security & Access Control (0 Yes /0 Known /10 Possible features)

Integration & Interoperability (0 Yes /0 Known /10 Possible features)

Vendor Support & Service (0 Yes /0 Known /10 Possible features)

Cost, Licensing & Deployment Options (0 Yes /0 Known /10 Possible features)