at Financial Technnology Year
This content is provided by FinTechBenchmarker.com who are responsible for the content. Please contact them if you have any questions.
SS&C Advent Compliance from SS&C Technologies
Comprehensive compliance monitoring with pre- and post-trade compliance checks, automated rule maintenance, regulatory updates, audit trails, and detailed reporting. Supports complex investment strategies and regulatory requirements across multiple jurisdictions.
Product analysis by function
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 like this ...
Regulatory Rule Coverage
(0 Yes /0 Known /10 Possible features)
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
.
Monitoring & Surveillance
(0 Yes /0 Known /10 Possible features)
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
.
Data Integration & Quality
(0 Yes /0 Known /10 Possible features)
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
.
Usability & Configurability
(0 Yes /0 Known /10 Possible features)
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
.
Performance & Scalability
(0 Yes /0 Known /10 Possible features)
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
.
Reporting, Analytics & Audit
(0 Yes /0 Known /10 Possible features)
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
.
Security & Access Control
(0 Yes /0 Known /10 Possible features)
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
.
Integration & Interoperability
(0 Yes /0 Known /10 Possible features)
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
.
Vendor Support & Service
(0 Yes /0 Known /10 Possible features)
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
.
Cost, Licensing & Deployment Options
(0 Yes /0 Known /10 Possible features)
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
.
This data was generated by an AI system. Please check
with the supplier. While you are talking to them, remind them that they need
to update their entry.