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MetricStream Compliance Management from MetricStream

Enables real-time compliance monitoring, manages regulatory obligations, surveys, policy attestations, risk assessments, and automates compliance reporting for pension fund managers.

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Product analysis by function

Compliance Monitoring Tools for Compliance and Governance

Systems that continuously monitor operations against regulatory requirements and internal policies, providing alerts for potential compliance issues and maintaining audit trails of compliance activities.
More Compliance Monitoring Tools More Compliance and Governance ...

Real-Time Regulatory Compliance Checks
(7 Yes /7 Known /10 Possible features)

Alerting and Notification
(7 Yes /7 Known /10 Possible features)

Audit Trail and Logging
(7 Yes /7 Known /9 Possible features)

Regulatory Reporting
(7 Yes /7 Known /9 Possible features)

Policy Management
(8 Yes /8 Known /9 Possible features)

User Access & Permissions
(6 Yes /6 Known /8 Possible features)

Data Security & Privacy Compliance
(8 Yes /8 Known /8 Possible features)

Integration & Interoperability
(6 Yes /6 Known /8 Possible features)

Dashboard & Analytics
(7 Yes /7 Known /8 Possible features)

Testing, Training & Change Management
(7 Yes /7 Known /8 Possible features)

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Automated Rule Engine A configurable engine that checks activities and transactions against current regulations.		MetricStream Compliance Management describes automated controls, configurable rule engines, and real-time compliance checking.
Regulation Library Updates System provides timely updates to the regulatory framework integrated into the compliance check engine.		MetricStream documentation mentions a regulatory content library with automatic updates of regulations.
Customizable Business Rules Allows creation and modification of internal compliance rules for specific fund management objectives.		The solution allows defining and changing internal business and compliance rules to fit unique requirements.
Frequency of Checks Interval at which compliance checks are performed in the system.		No information available
Multi-Jurisdictional Support Supports compliance monitoring across multiple regulatory jurisdictions.		The solution emphasizes multi-jurisdictional compliance and regulatory coverage.
Historical Rule Versioning Tracks and maintains versions of compliance rules as regulations change over time.		Audit trail and policy management features include versioning for compliance rules.
Granular Exception Handling Ability to set threshold-based alerts and manage exceptions at detailed levels.		Exception management and threshold-based alerting are core capabilities.
Scenario Testing Simulates fund activities to test compliance with anticipated regulatory changes.		No information available
Rules Execution Speed Average latency in processing compliance rule checks upon transaction/event.		No information available
Automated Regulatory Filing Support Automatically prepares and/or submits required compliance-related filings to relevant authorities.		Documentation highlights automation of regulatory reporting and filings.

Custom Alert Thresholds Administrators can define alert sensitivity and escalation paths.		The product allows customization of alert thresholds and escalation matrices.
Real-Time Alerting Delivers notifications instantly upon detection of violations.		Real-time alerting is included in the compliance and notification system.
Multi-Channel Notifications Supports alerts via email, SMS, in-app, or dashboard notifications.		Supports multiple notification types, including email and dashboard.
Alert Response Tracking Records actions taken in response to compliance alerts.		Tracks alert response workflows, resolved or escalated actions.
Notification Time to User Average time from breach detection to notification delivery.		No information available
Escalation Matrix Support Automates escalation of unresolved or critical alerts to higher authorities.		Escalation matrix and notification system are configurable for urgent compliance incidents.
Alert Customization Level Degree to which alerts can be tailored by user or event type.		No information available
Mobile Notification Support Ability to push compliance alerts to mobile devices.		Mobile and remote notification features are noted in product details.
Comprehensive Audit of Alerts Maintains a history log of all alerts, notifications sent, and responses.		Comprehensive audit history and alert management is a core advertised feature.
False Positive Rate Proportion of alerts triggered incorrectly.		No information available

Immutable Audit Logs Logs are secured from alteration, ensuring an accurate record of compliance activities.		Product stresses immutable audit logs for compliance and forensics.
Granularity of Logging Level of detail recorded in compliance logs.		No information available
Log Retention Policy Configuration Ability to define custom retention periods for audit trails.		Retention periods and log storage policy are configurable.
User Activity Tracking Monitors individual actions within compliance systems for accountability.		Tracks user activities and maintains accountability per audit requirements.
Timestamp Accuracy Degree of precision in log timestamps.		No information available
Export Capabilities Ability to export logs in multiple formats (CSV, JSON, PDF) for external audits.		Multiple export formats supported for compliance and audit logs.
Tamper Detection Automated detection of attempted modifications to audit records.		Tamper detection and alerting for audit logs are advertised as security features.
Segregation of Duties Monitoring Tracks and enforces separation between compliance tasks to mitigate risk.		Segregation of duties is enforced and tracked in compliance processes.
Automated Log Archiving Scheduled archiving of older audit logs for storage optimization.		Automated archiving is supported to manage log volume and retention.

Pre-Built Regulatory Templates Offers templates for common regulatory reports required by pension fund agencies.		Pre-built templates for regulatory reporting are highlighted.
Custom Report Builder Allows bespoke report creation based on internal or emerging requirements.		Custom report builder is available for regulatory reporting.
Scheduled Report Generation Supports automatic report creation on predefined schedules.		Scheduled report generation and automated report workflows included.
Regulatory Filing Formats Supported Number of supported output formats (e.g., XBRL, PDF, XML).		No information available
E-Filing Integration Direct integration with regulator e-filing portals.		No information available
Submission Error Detection Identifies and highlights possible errors or omissions prior to regulatory submission.		Submission error and data validation are part of pre-filing process.
Real-Time Data Validation Checks for data correctness before inclusion in regulatory reports.		Performs real-time data validation before report submission.
Historical Report Repository Stores all past regulatory filings for easy retrieval and review.		Historical repository of all filings and reports supported.
Automated Change Logs for Reports Maintains records of edits to regulatory reports prior to submission.		Change logs for all reports are maintained until submission.

Central Policy Repository A centralized and secure platform for all compliance policies.		MetricStream features a centralized policy and document repository.
Version Control Tracks changes and maintains previous versions of policies.		Comprehensive version control on policies is included.
Automated Enforcement of Policies Automatically applies internal policy rules to operational workflows.		Policies are enforced automatically via integrated workflows.
Policy Acknowledgement Tracking Monitors and records acknowledgment of policy reviews by staff.		Policy acknowledgment and attestation management is an advertised function.
Policy Review Reminders Automated notifications to review and update policies periodically.		Automated reminders for periodic policy review and update are available.
Policy Coverage Scope Number of functional areas (e.g., trading, reporting, HR) governed by policies.		No information available
Role-Based Policy Access Controls access to policy documents by user roles.		Role-based access policies can be set for policy documents.
Audit Trail of Policy Changes Logs all modifications made to policies.		All changes to policies are logged for audit.
Search and Retrieval Full-text search within all compliance policies.		Policy searchability via comprehensive search/retrieval tools is highlighted.

Role-Based Access Control Enforces permissions and restrictions based on user roles.		Role-based access control is featured for sensitive compliance features.
Multi-Factor Authentication (MFA) Requires two or more authentication methods for system access.		Two-factor/multi-factor authentication is noted for platform security.
Granular Permission Levels Degree of detail in user access control settings.		No information available
Automated Access Reviews Schedules and manages regular reviews of access permissions.		System can schedule and conduct periodic reviews of user access rights.
Access Log Tracking Maintains comprehensive logs of user login and activity.		Tracks access history and login attempts for full accountability.
Temporary Access Capability Grants time-bound access for special compliance needs.		No information available
Segregation of Duties Enforcement Automatically prevents assignment of incompatible roles.		Prevents assignment of conflicting roles automatically.
Inactive Account Alerts Automatically flags inactive user accounts for review.		Flags and alerts for inactive user accounts are available.

Data Encryption At Rest Encrypts sensitive data stored in the system.		Encrypts data at rest using industry-standard protocols, per documentation.
Data Encryption In Transit Protects data as it moves across networks.		All in-transit data protected by SSL/TLS as per security specifications.
Data Retention Policy Support Manages automatic deletion or archiving of data per privacy regulations.		Provides data retention management for privacy and regulatory use cases.
PII (Personal Identifiable Information) Detection Automatically identifies and flags storage of PII within compliance records.		The platform can identify and flag PII in compliance documents.
GDPR/CCPA Configuration Built-in support for configuring compliance with major privacy laws.		Built-in GDPR and CCPA configuration options are referenced in product features.
Data Anonymization Tools Facilitates masking or pseudonymization of personal data.		Data anonymization and pseudonymization tools offered.
Security Event Monitoring Continuous monitoring of system access and data changes for security threats.		Provides continuous monitoring for security and compliance threats.
Data Breach Response Workflow Pre-defined steps and notification process in case of detected data breach.		Includes incident workflow for breach notification and response.

API Availability Public and documented APIs for integration with third-party applications.		API support and partner integrations are core product value propositions.
Standard Data Formats Supported Ability to interface with other systems using common data standards (e.g., CSV, XML, JSON).		Supports CSV, XML, JSON, and standard data formats for integration.
Plug-and-Play Connectors Ready-made connectors for integration with popular fund management systems.		Plug-and-play connectors for industry systems are listed among integrations.
Batch Data Import/Export Supports bulk data exchange with external systems.		Bulk data import/export is supported for migration and reporting.
Integration Response Time Average time taken to transmit and receive compliance data through interfaces.		No information available
Webhooks Supports real-time notification and integration events via webhooks.		Webhooks available for rapid integration and real-time event notifications.
Compliance Portal Integration Direct links to regulatory agency portals for streamlined compliance submissions.		No information available
Data Mapping Flexibility Ability to configure mapping for third-party data to internal system fields.		Supports mapping of third-party and legacy data into system fields.

Customizable Dashboards Personalized dashboards per user or team.		Dashboards are customizable by user, with drag-and-drop widgets.
Compliance KPI Tracking Visual display of key performance indicators relevant to regulatory compliance.		Tracks compliance KPIs visually on management dashboards.
Real-Time Data Refresh Rate Frequency at which dashboard data updates.		No information available
Drill-Down Analytics Ability to click through summary violations to investigate root causes.		User can drill into reported violations from summary to detail view.
Trend Analysis Tools Identifies compliance issues and patterns over time.		Provides trend analysis of compliance history and violations.
Custom Report Generation Ability to create bespoke analytic reports.		Custom analytic report generation is available from dashboard data.
Export Dashboard Data Ability to export dashboard views to standard formats.		Dashboard data can be exported in standard formats for further analysis.
Dashboard Sharing Permissions Control who can view or edit dashboard data and layouts.		User permissions govern dashboard and data visibility.

Sandbox/Test Environment Allows new compliance rules and changes to be tested before live deployment.		Provides test/sandbox environments for rule and process change simulation.
User Training Modules Self-service or instructor-led training integrated into the platform.		Platform offers modular user/self-service and integrated training resources.
In-App Guidance Step-by-step instructions and tooltips to help users with compliance processes.		Provides in-application guidance and contextual support.
Change Management Workflows Structured procedures for managing compliance-related changes.		Includes structured change management and workflow features.
Change Approval Workflows Multi-level approval steps required before compliance changes go live.		Change approval workflows and requirements are part of compliance management.
Change Implementation Time Time taken to implement and roll out system changes.		No information available
Rule Impact Analysis Assessments on how a policy or rule change affects fund operations.		Impacts of rule or policy changes can be assessed using simulation tools.
Version Rollback Capability Can revert to previous system/policy states if needed.		Supports rollback to previous policy and configuration states.

MetricStream Compliance Management from MetricStream

Product analysis by function

Compliance Monitoring Tools for Compliance and Governance

Real-Time Regulatory Compliance Checks (7 Yes /7 Known /10 Possible features)

Alerting and Notification (7 Yes /7 Known /10 Possible features)

Audit Trail and Logging (7 Yes /7 Known /9 Possible features)

Regulatory Reporting (7 Yes /7 Known /9 Possible features)

Policy Management (8 Yes /8 Known /9 Possible features)

User Access & Permissions (6 Yes /6 Known /8 Possible features)

Data Security & Privacy Compliance (8 Yes /8 Known /8 Possible features)

Integration & Interoperability (6 Yes /6 Known /8 Possible features)

Dashboard & Analytics (7 Yes /7 Known /8 Possible features)

Testing, Training & Change Management (7 Yes /7 Known /8 Possible features)