Our full service approach to detecting and managing compliance violations of client mandates, regulatory restrictions and in-house exposure limits provides clients with valuable exemption based information that highlights potential warnings and violations to pre-agreed rules, tests and frequencies.
Fully integrated with J.P. Morgan's fund accounting system, this flexible, time-saving service can also accept data feeds from clients' in-house or third-party accounting platforms. Key features include:
Rules Coverage
Client definable rules and reports, with over 5,000 individual rules available
Equity, fixed income, derivatives, money-market, cash and cash equivalent restrictions
Extensive security reference data facilitating support of tests for credit ratings, outstanding shares, issuer exposure, etc.
Weighted average analytics capability for credit ratings and maturity
Regulatory Libraries
Client defined regulatory rules library
US SEC (1940 Act including Rule 2a-7)
ERISA prohibited transactions
NAIC/State regulatory rules
European UCITS, German KAGG and UK FSA
European and US pension and insurance funds
Rule Processing
Daily, weekly and monthly portfolio compliance checking
Tests can be run at the portfolio, sub-composite and total composite level
Same day compliance reporting, with intra-day processing
Breach Register
Client definable workflows and breach record content for analysis and resolution
Access to historical compliance exception reports and breach records
Breach register universe comparison reporting and trend
analysis
Support and ExperienceApplication hardware and software are maintained and supported by J.P. Morgan. Full service support is provided through dedicated compliance reporting teams who work closely with clients to set up the service, build rules and provide daily support.
