Regulatory and Compliance

IA’s comprehensive compliance monitoring service handles daily, weekly and monthly checking of your guidelines for internal or regulatory purposes.

We routinely monitor guidelines like the following for our clients:

• Security concentration limits
• Securities traded only on approved exchanges
• Securities denominated only in approved currencies
• Exposure limits (by country, currency, trader, etc.)
• Volatility limits (by trader, strategy, portfolio, etc.)
• Correlation and beta limits
• VaR limits (by portfolio, by strategy, by asset class, etc.)
• many more...

IA’s compliance monitoring was built to handle virtually any guideline, limited only by your creativity and available data.  With the requisite data, we can build any guideline - regardless of how complex - and monitor it on a daily basis.
 

Sample Guideline "Report Card" showing the details of the guidelines and the reason for each pass/fail

Reports can be viewed online through our interactive website, or they can be emailed in excel files or in text-only emails for easy viewing on your pda.