Investment Compliance
UCITS, AIFMD and depositary compliance monitoring, restriction management and regulatory reporting for investment institutions.
See Investment Compliance in Action
Product overview of how institutions use Investment Compliance across real financial operations.
Compliance built into the investment process
FundWare monitors UCITS, NURS and IMA prospectus rules alongside AIFMD leverage and liquidity requirements.
Pre-configured rules track disclosure thresholds, short-selling limits, sensitive-sector restrictions and takeover disclosures automatically, with early-warning alerts.
Depositary Oversight extends monitoring to non-custody assets, fund cash flows, subscriptions and redemptions, with NAV validation checks for stale prices and large movers.
What Investment Compliance Delivers
Capabilities that embed compliance into investment operations.
Pre-Trade Compliance
Screen proposed trades against mandates and restrictions before execution occurs.
Post-Trade Monitoring
Track AUM against thresholds with incremental early-warning alerts.
Restriction Management
Use a rules engine for foreign investment, sensitive sectors and short-selling limits.
Exception Handling
Flag fund cash-flow exceptions against limits, approved payees and non-timely settlement for review.
Regulatory Reporting
Generate pre-configured disclosure reports in XML, Excel, PDF and regulator formats.
Policy Governance
Aggregate controls across indices, baskets and ETFs at every reporting level.
Modular product architecture
Modules that operationalize investment policy and regulatory control.
Rule Engine
Configure rules covering mandates, UCITS, NURS, IMA, AIFMD and investment restrictions.
Pre-Trade Gate
Screen proposed investment activity against mandates and restrictions before execution.
Breach Monitor
Monitor AIFMD leverage on gross and commitment methods, and stress-test liquidity against each fund's risk profile.
Case Management
Manage disclosure workflows from breach detection through resolution and filing.
Policy Library
Maintain pre-configured rules for major shareholdings, takeover dealing, short selling and foreign investment.
Compliance Reporting
Produce investor and holding disclosures automatically, alongside AIFMD leverage and liquidity reporting.
Compliance control loop
From policy definition to continuous monitoring and resolution.
Define
Configure mandates, prospectus rules and investment restrictions.
Check
Screen proposed trades before execution occurs.
Monitor
Track AUM, thresholds and post-trade portfolio restrictions.
Resolve
Manage disclosure workflows from breach to filing.
Report
Generate regulatory and governance reporting in required formats.
Outcomes for financial institutions
Reduce Breach Risk
Screen proposed trades and monitor thresholds with early-warning alerts.
Improve Governance
Apply one compliance layer across custody and non-custody assets.
Speed Exception Resolution
Keep a complete audit trail with historical data across rules, breaches and disclosures.
Support Regulatory Confidence
Apply pre-configured rules and reports for UCITS, AIFMD and global disclosure requirements.
Built for institutional scale
Asset Managers
Fund managers requiring rigorous mandate and regulatory control.
Banks
Institutions managing investment books with complex constraints.
Wealth Platforms
Private banks enforcing suitability and investment guidelines.
Investment Operations
Teams responsible for control, monitoring and reporting.
Related Solutions
Compliance strengthens the broader capital markets stack.
Investment Compliance FAQs
Common questions about Investment Compliance for enterprise evaluation teams.
See Investment Compliance in Action
See how Investment Compliance can strengthen portfolio controls, monitoring and governance.