End-to-end compliance monitoring solution with pre- and post-trade compliance checks, automated rule maintenance, regulatory updates, real-time alerts, customizable dashboards, and comprehensive audit trails. Supports multiple asset classes and global regulations.
Software that automatically checks portfolios against investment guidelines, restrictions, and regulatory limits to prevent breaches and ensure alignment with client mandates and fund prospectuses.
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Jurisdictional Rule Coverage Ability to configure and monitor rules for multiple regulatory jurisdictions (e.g., SEC, ESMA, MAS). |
SimCorp provides configuration and monitoring of rules for multiple jurisdictions as part of global regulatory support. Official documentation and product page confirm global coverage. | |
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Custom Rule Building Allows creation and customization of bespoke compliance rules in addition to standard regulatory rules. |
SimCorp supports custom and configurable compliance rules per product documentation. | |
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Pre-built Regulatory Rule Library Availability of an out-of-the-box library of commonly required investment compliance rules. |
Product includes an out-of-the-box compliance rule library covering major regulatory regimes. | |
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Real-Time Rule Updates Frequency and automation level of updates for changes in regulations and market rules. |
No information available | |
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Prospectus and Mandate Rule Support Capability to handle both prospectus-stated and client-mandate-specific investment rules. |
Product explicitly claims support for both prospectus-defined and client-specific investment rules in marketing literature. | |
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Rule Versioning & Audit Trail Tracks changes to rules for audit and historical review purposes. |
Audit trail and rule version control are standard in SimCorp's compliance offering. | |
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Automated Rule Validation Automatic validation of rules before they are activated or applied. |
System documentation mentions automated rule validation before activation. | |
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Pre-Trade Rule Checking Checks rules before trade execution to prevent violations. |
SimCorp supports pre-trade compliance per product website and technical fact sheets. | |
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Post-Trade Rule Checking Performs compliance checks after trade execution for further assurance. |
Post-trade compliance checking is a core capability as advertised. | |
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Rule Dependency Management Manages rule hierarchies and dependencies (e.g., prioritizing fund-level over regulatory rules where applicable). |
References to rule dependency management/fund-level vs regulatory rules appear in technical documentation. |
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Real-Time Monitoring Continuous analysis of portfolio and transaction data for instantaneous breach detection. |
Real-time continuous analysis and alerts are described in official product briefs. | |
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Manual Surveillance Mode Allows user-initiated or scheduled compliance checks. |
Manual/scheduled compliance checks are supported per FAQs and client documentation. | |
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Automated Breach Detection Automated flagging of compliance violations as they occur. |
Automated breach detection/flagging is a standard feature as noted on the website. | |
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Threshold Alerting Configurable thresholds for alerts prior to actual breaches. |
Threshold alerting (pre-breach warnings) are referenced in brochures and config guides. | |
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Exception Management Dashboard Centralized dashboard for managing exceptions and investigating breaches. |
Exception management dashboard is mentioned as a central user interface for breaches. | |
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Intraday Monitoring Frequency Maximum frequency with which compliance checks can be carried out. |
No information available | |
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Automated Notification System Automated emails, dashboard notifications, and escalation procedures for breaches. |
Automated notifications via dashboard, email, and escalation are documented features. | |
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Behavioral Surveillance Monitors patterns for unusual trading activity that may signal market abuse or insider activity. |
Behavioral surveillance/monitoring for abnormal trading activity is mentioned in advanced modules. | |
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Audit Trails An immutable and comprehensive log of monitoring activities and detected events. |
Comprehensive audit trails are a documented core component. | |
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Breaches Remediation Workflow Built-in processes and task assignments for resolving compliance breaches. |
Breach remediation workflow, including tasks and case management, is supported per SimCorp documentation. |
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Portfolio Data Integration Ability to ingest and harmonize holdings data from multiple portfolio management systems. |
Integrates holdings from multiple PMS systems; supported by SimCorp's data hub/integration tools. | |
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Market Data Feeds Integration Automatic connection with relevant market data providers for pricing, benchmarks, and corporate actions. |
Market data feeds are standard integration; mentioned on solution site and docs. | |
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Reference Data Management Management of securities master, issuer, and counterparty reference data essential to rule checking. |
Reference data management (security/issuer/counterparty) is built into SimCorp Dimension. | |
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Trade/Transaction Data Ingestion Latency Time taken to reflect new trades/transactions in the system for compliance checking. |
No information available | |
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Data Quality Checks Automated verification of data consistency, completeness, and timeliness. |
Automated data quality checks are listed in the product's data management features. | |
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Data Enrichment Capabilities System capabilities to supplement core data with additional attributes for compliance logic. |
Data enrichment from internal and external sources is noted in technical whitepapers. | |
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Manual Data Input Support Interface for uploading or entering ad hoc or exceptional data. |
Manual data uploads/ad hoc entries are supported in SimCorp's compliance dashboard UI. | |
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API Connectivity Availability of APIs for data ingestion and export. |
API for data ingestion and export is a standard part of the SimCorp platform. | |
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Data Source Auditing Tracking origins and transformations of data used in compliance monitoring. |
Data source and lineage auditing is supported by SimCorp's data governance functions. | |
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Data Retention Policy Management Configurable rules for historical data archiving and retention, in line with regulations. |
Configurable data retention is part of SimCorp enterprise data management. |
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Intuitive User Interface Modern, easy-to-navigate interface for all core compliance tasks. |
Modern UI and user experience are cited for the compliance dashboard. | |
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Role-Based Access Control Controlled access for different users (compliance officers, managers, auditors, etc.). |
Role-based user access controls are a stated feature. | |
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Configurable Dashboards User-customizable dashboards for key compliance metrics and alerts. |
Dashboards are configurable per user and team needs; supported for compliance metrics. | |
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Custom Report Builder Drag-and-drop or template-driven reports for compliance and management use. |
Builder for ad hoc and templated reports present in SimCorp platform. | |
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Multi-Language Support Availability of the system in different languages for global teams. |
Supports multiple languages for geographically distributed clients per company site. | |
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Mobile Accessibility Availability of mobile interface or alerts for compliance oversight on the go. |
Mobile accessibility and alerts are available via mobile-optimized dashboards. | |
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User Preferences Personalization of system layout, notifications, and content. |
User-level personalization for notifications and layouts is documented. | |
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Bulk Actions Support Ability to handle large-scale changes (e.g., rule updates, trade loads) efficiently. |
Bulk actions (e.g., rule updates, trade uploads) are supported for operational efficiency. | |
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Audit Log Accessibility Easy access for users to view a log of compliance activities and changes. |
Audit logs are easily accessible from the user interface. | |
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Error Handling & Guidance Clear system feedback and help for resolving issues/misconfigurations. |
Interface provides error handling guidance and suggested resolutions. |
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Maximum Portfolio Capacity Total number of portfolios the system can monitor concurrently. |
No information available | |
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Compliance Check Speed Average time to complete a full compliance check on a portfolio. |
No information available | |
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User Concurrency Support for simultaneous users without system slowdowns. |
No information available | |
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System Uptime SLA Guaranteed availability metrics for the service. |
No information available | |
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Load Balancing Support Built-in mechanisms for distributing workload automatically. |
No information available | |
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Response Time under Peak Load System performance metrics during periods of highest demand. |
No information available | |
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Batch Processing Capabilities Ability to process compliance checks in bulk or overnight batches. |
No information available | |
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Dynamic Resource Scaling Cloud-native elasticity to scale infrastructure in real-time as demand increases. |
No information available | |
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High Availability Architecture Redundancy and failover for mission-critical compliance operations. |
No information available | |
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Geographical Redundancy Disaster recovery and continuity planning via multi-region support. |
No information available |
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Regulatory Reporting Templates Prebuilt formats for common regulatory submissions (e.g., Form N-PORT, UCITS KIID). |
No information available | |
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Ad-hoc Reporting Ability to generate and customize reports on demand. |
No information available | |
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Breach Trend Analysis Analytics on breach frequency, causes, and trends over time. |
No information available | |
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Exception Heatmaps Visual summary of where and when compliance issues occur. |
No information available | |
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Export to Multiple Formats Download and share reports in PDF, Excel, CSV, and more. |
No information available | |
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Drill-Down Capabilities Interactive reports to explore data down to trade or rule level. |
No information available | |
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Customizable Periodic Reports Schedule daily, weekly, or monthly automated reports. |
No information available | |
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User Activity Audit Reports Track and report on compliance user actions for surveillance and governance. |
No information available | |
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Compliance Breach Archiving Secure and compliant storage of historical breach investigations. |
No information available | |
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Time to Generate Standard Report Average time to compile a standard compliance report. |
No information available |
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Multi-Factor Authentication Enhanced login security with additional verification layers. |
No information available | |
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Single Sign-On Integration Supports SSO via LDAP, SAML, or cloud identity providers. |
No information available | |
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Granular Permissions Model Fine-tuned access rights by user role or group. |
No information available | |
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Encryption at Rest Data is encrypted when stored in system databases. |
No information available | |
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Encryption in Transit Data is encrypted while moving between systems. |
No information available | |
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Automated Session Timeout Automatic logout after user inactivity to prevent unauthorized access. |
No information available | |
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Data Masking Sensitive client or trade data is masked for certain users. |
No information available | |
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Audit Logging of Access Logging every login, administrative action, and data access. |
No information available | |
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Access Review Tools Periodic checks and attestation for user access rights. |
No information available | |
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GDPR/Local Data Privacy Compliance Data handling methodologies ensure compliance with privacy laws. |
No information available |
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Order Management System Integration Seamless connection for trade feeds and order data ingestion. |
No information available | |
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Portfolio Accounting System Integration Ability to fetch positions, valuations, and transaction records. |
No information available | |
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Data Warehouse or BI Platform Integration Support for exporting compliance data to analytics or data warehouse environments. |
No information available | |
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Regulatory Submission Platform Integration Automated submission to electronic regulator portals. |
No information available | |
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API for 3rd Party Integration Comprehensive, documented APIs for all major functions. |
No information available | |
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File Import/Export (CSV, XML, JSON) Supports bulk and scheduled file exchanges for legacy integration. |
No information available | |
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Webhook/Real-Time Notification Integration Supports push notifications to other systems when key compliance events occur. |
No information available | |
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Reference Data Vendor Integration Plug-and-play integration to leading securities/reference data vendors. |
No information available | |
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Active Directory/LDAP Compatibility Supports directory services for enterprise user management. |
No information available | |
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Cloud-to-Cloud Integration Support Deploys and connects easily within cloud-centric infrastructures. |
No information available |
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24/7 Technical Support Availability of support staff outside normal business hours. |
No information available | |
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Dedicated Account Manager Assigned resource for ongoing relationship and escalation. |
No information available | |
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Onboarding & Implementation Assistance Services for setup, migration, and initial training. |
No information available | |
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SLAs for Issue Resolution Contractual commitments around response and resolution times. |
No information available | |
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Product Training & Documentation Availability of up-to-date user manuals, how-to guides, and training sessions. |
No information available | |
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User Community & Forums Active knowledge exchange platforms and peer learning. |
No information available | |
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Incident Communication Protocols Clear and prompt updates from vendor for high-impact incidents. |
No information available | |
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Proactive Product Roadmap Updates Regular communications about new features and upgrades. |
No information available | |
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Custom Development/Enhancement Services Ability to commission bespoke features or integrations. |
No information available | |
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Online Ticketing & Self-Service Portal Web interface for issue logging and tracking resolutions. |
No information available |
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Transparent Pricing Model Upfront disclosure of all costs (licenses, users, data, support, upgrades). |
No information available | |
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Flexible Licensing Options for subscription, perpetual, or usage-based licenses. |
No information available | |
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Pay-As-You-Go Option Pricing available based on actual portfolios or usage. |
No information available | |
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Multi-Tenancy Support Bulk pricing for organizations with multiple business units or geographies. |
No information available | |
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Cloud Deployment Option Available as SaaS or in major public clouds. |
No information available | |
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On-Premises Deployment Option Option for local installation in client data centers. |
No information available | |
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Hybrid Cloud Option Combining on-premises and cloud for greater flexibility. |
No information available | |
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Trial/Evaluation License Risk-free evaluation period for testing and analysis. |
No information available | |
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Cost Scalability Ability for pricing to scale up or down as team or portfolio numbers grow/shrink. |
No information available | |
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No Hidden Fees Assurance that all major costs are disclosed; no unplanned upcharges. |
No information available |
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