J.P. Morgan ACCESS ®

Compliance Reporting

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 Experience
Application 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.

 
 
 

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