Compliance has become increasingly prominent as regulatory oversight exerts a growing influence over the markets, and clients demand progressively more evidence of best practice in operation. The compliance function is caught between the relentless drive to implement more checks more frequently, and the ever-present focus on operational costs.
Diverse, complex risk exposure, increased scrutiny and the drive to win new business all require sophisticated and nimble compliance monitoring. Sentinel Portfolio Compliance has the power and agility to enable investment firms to create and test the most complex rules and to react quickly to new mandates and legislation.
Firms are expanding their monitoring to include trading practices as well. Evaluating rules around crossing trades and wash sales, counterparty trade volume and extended settlement dates are part of Sentinel Trading Compliance.
As firms expand into new markets, the task of monitoring shareholder filing requirements has become increasingly demanding. Sentinel Disclosure Service monitors a firm's holdings, evaluates reporting requirements across the global book and manages the results.