at Financial Technnology Year
Please contact them if you have any questions.
SS&C Advent Compliance from SS&C Technologies
Comprehensive compliance monitoring with pre- and post-trade compliance checks, automated rule maintenance, regulatory updates, audit trails, and detailed reporting. Supports complex investment strategies and regulatory requirements across multiple jurisdictions.
Product analysis by function
Investment Compliance Monitoring for Risk & Compliance
Software that automatically checks portfolios against investment guidelines, restrictions, and regulatory limits to prevent breaches and ensure alignment with client mandates and fund prospectuses.
More Investment Compliance Monitoring
More Risk & Compliance ...
Regulatory Rule Coverage
(9 Yes /9 Known /10 Possible features)
|
Jurisdictional Rule Coverage Ability to configure and monitor rules for multiple regulatory jurisdictions (e.g., SEC, ESMA, MAS). |
Product documentation and website mention support for multi-jurisdictional regulatory rules, including SEC and ESMA. | |
|
Custom Rule Building Allows creation and customization of bespoke compliance rules in addition to standard regulatory rules. |
Marketing materials mention configurable and bespoke rule building capabilities. | |
|
Pre-built Regulatory Rule Library Availability of an out-of-the-box library of commonly required investment compliance rules. |
Described as having an extensive library of pre-built regulatory rules. | |
|
Real-Time Rule Updates Frequency and automation level of updates for changes in regulations and market rules. |
No information available | |
|
Prospectus and Mandate Rule Support Capability to handle both prospectus-stated and client-mandate-specific investment rules. |
Handles both regulatory and client-mandate (prospectus) rule monitoring according to product overview. | |
|
Rule Versioning & Audit Trail Tracks changes to rules for audit and historical review purposes. |
Audit trails and rule versioning are explicitly called out in solution datasheets. | |
|
Automated Rule Validation Automatic validation of rules before they are activated or applied. |
Automatic validation of new/changed rules is described in product workflows. | |
|
Pre-Trade Rule Checking Checks rules before trade execution to prevent violations. |
Supports pre-trade rule checking per the product specs. | |
|
Post-Trade Rule Checking Performs compliance checks after trade execution for further assurance. |
Supports post-trade compliance monitoring, as stated in documentation. | |
|
Rule Dependency Management Manages rule hierarchies and dependencies (e.g., prioritizing fund-level over regulatory rules where applicable). |
Rule hierarchies and dependency management is supported (referenced in technical solution details). |
Monitoring & Surveillance
(9 Yes /9 Known /10 Possible features)
|
Real-Time Monitoring Continuous analysis of portfolio and transaction data for instantaneous breach detection. |
Continuous real-time monitoring featured as a key capability. | |
|
Manual Surveillance Mode Allows user-initiated or scheduled compliance checks. |
Manual and scheduled compliance checks are possible via the UI. | |
|
Automated Breach Detection Automated flagging of compliance violations as they occur. |
Automated breach detection is mentioned in workflow and product features. | |
|
Threshold Alerting Configurable thresholds for alerts prior to actual breaches. |
Threshold alerting and near-breach notifications are configurable. | |
|
Exception Management Dashboard Centralized dashboard for managing exceptions and investigating breaches. |
Centralized dashboard for exception and breach management is standard. | |
|
Intraday Monitoring Frequency Maximum frequency with which compliance checks can be carried out. |
No information available | |
|
Automated Notification System Automated emails, dashboard notifications, and escalation procedures for breaches. |
Automated email/dashboard notifications and escalation are referenced as key features. | |
|
Behavioral Surveillance Monitors patterns for unusual trading activity that may signal market abuse or insider activity. |
Certain behavioral monitoring and surveillance functionalities are available for market abuse monitoring. | |
|
Audit Trails An immutable and comprehensive log of monitoring activities and detected events. |
Product offers immutable audit trails for compliance checks and activities. | |
|
Breaches Remediation Workflow Built-in processes and task assignments for resolving compliance breaches. |
Workflow remediation for breaches is available in dashboards. |
Data Integration & Quality
(9 Yes /9 Known /10 Possible features)
|
Portfolio Data Integration Ability to ingest and harmonize holdings data from multiple portfolio management systems. |
Supports integration of portfolio data from multiple management systems. | |
|
Market Data Feeds Integration Automatic connection with relevant market data providers for pricing, benchmarks, and corporate actions. |
Integration with market data providers is advertised as part of the solution. | |
|
Reference Data Management Management of securities master, issuer, and counterparty reference data essential to rule checking. |
Reference data management is included among product's data capabilities. | |
|
Trade/Transaction Data Ingestion Latency Time taken to reflect new trades/transactions in the system for compliance checking. |
No information available | |
|
Data Quality Checks Automated verification of data consistency, completeness, and timeliness. |
Automated data quality checks are described as part of data pipelines. | |
|
Data Enrichment Capabilities System capabilities to supplement core data with additional attributes for compliance logic. |
Data enrichment with external attributes for compliance is referenced in marketing content. | |
|
Manual Data Input Support Interface for uploading or entering ad hoc or exceptional data. |
Manual data input and upload by users is supported according to UI documentation. | |
|
API Connectivity Availability of APIs for data ingestion and export. |
API connectivity provided for automated imports/exports. | |
|
Data Source Auditing Tracking origins and transformations of data used in compliance monitoring. |
Data lineage and source audit is included in the compliance module. | |
|
Data Retention Policy Management Configurable rules for historical data archiving and retention, in line with regulations. |
Data retention policies are configurable as part of compliance recordkeeping. |
Usability & Configurability
(9 Yes /9 Known /10 Possible features)
|
Intuitive User Interface Modern, easy-to-navigate interface for all core compliance tasks. |
Modern, web-based, intuitive UI referenced in product tours and testimonials. | |
|
Role-Based Access Control Controlled access for different users (compliance officers, managers, auditors, etc.). |
Role-based user access control is a standard feature. | |
|
Configurable Dashboards User-customizable dashboards for key compliance metrics and alerts. |
Dashboards are user-customizable (documentation and demos confirm this). | |
|
Custom Report Builder Drag-and-drop or template-driven reports for compliance and management use. |
Custom report builder is present; flexible template and drag-and-drop reporting available. | |
|
Multi-Language Support Availability of the system in different languages for global teams. |
No information available | |
|
Mobile Accessibility Availability of mobile interface or alerts for compliance oversight on the go. |
Mobile notifications available; some features accessible on mobile web. | |
|
User Preferences Personalization of system layout, notifications, and content. |
User preferences for notifications and layout are supported. | |
|
Bulk Actions Support Ability to handle large-scale changes (e.g., rule updates, trade loads) efficiently. |
Efficient bulk actions like rule uploads and mass trade processing are supported. | |
|
Audit Log Accessibility Easy access for users to view a log of compliance activities and changes. |
Audit logs are accessible to authorized users. | |
|
Error Handling & Guidance Clear system feedback and help for resolving issues/misconfigurations. |
System offers error explanations and remediation guidance. |
Performance & Scalability
(5 Yes /5 Known /10 Possible features)
|
Maximum Portfolio Capacity Total number of portfolios the system can monitor concurrently. |
No information available | |
|
Compliance Check Speed Average time to complete a full compliance check on a portfolio. |
No information available | |
|
User Concurrency Support for simultaneous users without system slowdowns. |
No information available | |
|
System Uptime SLA Guaranteed availability metrics for the service. |
No information available | |
|
Load Balancing Support Built-in mechanisms for distributing workload automatically. |
Cloud-native system provides automated load balancing. | |
|
Response Time under Peak Load System performance metrics during periods of highest demand. |
No information available | |
|
Batch Processing Capabilities Ability to process compliance checks in bulk or overnight batches. |
Batch and overnight processing options are supported. | |
|
Dynamic Resource Scaling Cloud-native elasticity to scale infrastructure in real-time as demand increases. |
Cloud infrastructure supports real-time resource scaling. | |
|
High Availability Architecture Redundancy and failover for mission-critical compliance operations. |
High availability with failover features is implemented for mission-critical operations. | |
|
Geographical Redundancy Disaster recovery and continuity planning via multi-region support. |
Documented support for disaster recovery and geographical redundancy. |
Reporting, Analytics & Audit
(8 Yes /8 Known /10 Possible features)
|
Regulatory Reporting Templates Prebuilt formats for common regulatory submissions (e.g., Form N-PORT, UCITS KIID). |
Regulatory report templates (N-PORT, UCITS KIID, etc.) are included. | |
|
Ad-hoc Reporting Ability to generate and customize reports on demand. |
Ad hoc templated and freeform reporting is a standard capability. | |
|
Breach Trend Analysis Analytics on breach frequency, causes, and trends over time. |
Breach trend reporting and analytics are described in reporting features. | |
|
Exception Heatmaps Visual summary of where and when compliance issues occur. |
No information available | |
|
Export to Multiple Formats Download and share reports in PDF, Excel, CSV, and more. |
Export to PDF, Excel, CSV is supported, as per reporting documentation. | |
|
Drill-Down Capabilities Interactive reports to explore data down to trade or rule level. |
Dashboards and reports support drill-down to individual trade/rule level. | |
|
Customizable Periodic Reports Schedule daily, weekly, or monthly automated reports. |
Automated periodic report scheduling is available. | |
|
User Activity Audit Reports Track and report on compliance user actions for surveillance and governance. |
User-level audit reports are standard for governance and surveillance. | |
|
Compliance Breach Archiving Secure and compliant storage of historical breach investigations. |
Historical breach storage is compliant and accessible in the system. | |
|
Time to Generate Standard Report Average time to compile a standard compliance report. |
No information available |
Security & Access Control
(10 Yes /10 Known /10 Possible features)
|
Multi-Factor Authentication Enhanced login security with additional verification layers. |
Multi-factor authentication is supported for security per datasheet/security overview. | |
|
Single Sign-On Integration Supports SSO via LDAP, SAML, or cloud identity providers. |
Single sign-on via SAML, LDAP supported. | |
|
Granular Permissions Model Fine-tuned access rights by user role or group. |
Granular permissions by user, group and role are supported. | |
|
Encryption at Rest Data is encrypted when stored in system databases. |
Encryption at rest for all database records is an expected security feature. | |
|
Encryption in Transit Data is encrypted while moving between systems. |
Encryption for data in transit is implemented via HTTPS and secure APIs. | |
|
Automated Session Timeout Automatic logout after user inactivity to prevent unauthorized access. |
Session timeouts and auto-logout are standard controls. | |
|
Data Masking Sensitive client or trade data is masked for certain users. |
Data masking and redacted views for sensitive data are referenced in security documentation. | |
|
Audit Logging of Access Logging every login, administrative action, and data access. |
Access audit logging is part of user management and compliance. | |
|
Access Review Tools Periodic checks and attestation for user access rights. |
Periodic access review tools are included, especially for regulated clients. | |
|
GDPR/Local Data Privacy Compliance Data handling methodologies ensure compliance with privacy laws. |
References to GDPR and privacy law compliance cite methods for legal and regional jurisdiction requirements. |
Integration & Interoperability
(10 Yes /10 Known /10 Possible features)
|
Order Management System Integration Seamless connection for trade feeds and order data ingestion. |
Integration with OMS systems is described in technical datasheets. | |
|
Portfolio Accounting System Integration Ability to fetch positions, valuations, and transaction records. |
Integration with portfolio accounting systems is available. | |
|
Data Warehouse or BI Platform Integration Support for exporting compliance data to analytics or data warehouse environments. |
Export to data warehouse/BI platform is advertised, e.g., for Morningstar, BNY, and custom DWH. | |
|
Regulatory Submission Platform Integration Automated submission to electronic regulator portals. |
Direct regulatory submission platform integration available for some regulators. | |
|
API for 3rd Party Integration Comprehensive, documented APIs for all major functions. |
Full featured API for third-party integrations. | |
|
File Import/Export (CSV, XML, JSON) Supports bulk and scheduled file exchanges for legacy integration. |
Bulk and scheduled file import/export (CSV, XML, JSON) are supported. | |
|
Webhook/Real-Time Notification Integration Supports push notifications to other systems when key compliance events occur. |
Webhooks and notification integration are described in technical API documentation. | |
|
Reference Data Vendor Integration Plug-and-play integration to leading securities/reference data vendors. |
Plug-and-play integration with Bloomberg, ICE, Refinitiv, etc. is supported. | |
|
Active Directory/LDAP Compatibility Supports directory services for enterprise user management. |
Active Directory/LDAP is included for enterprise user syncing. | |
|
Cloud-to-Cloud Integration Support Deploys and connects easily within cloud-centric infrastructures. |
Cloud and hybrid environments supported for deployment. |
Vendor Support & Service
(10 Yes /10 Known /10 Possible features)
|
24/7 Technical Support Availability of support staff outside normal business hours. |
24/7 technical support available as a premium service. | |
|
Dedicated Account Manager Assigned resource for ongoing relationship and escalation. |
Dedicated account management is available for enterprise clients. | |
|
Onboarding & Implementation Assistance Services for setup, migration, and initial training. |
Onboarding and implementation support is emphasized as a differentiator. | |
|
SLAs for Issue Resolution Contractual commitments around response and resolution times. |
SLAs for support and problem resolution are contractually defined. | |
|
Product Training & Documentation Availability of up-to-date user manuals, how-to guides, and training sessions. |
Extensive documentation, manuals, and online/on-prem training available. | |
|
User Community & Forums Active knowledge exchange platforms and peer learning. |
Client community and user forums offered for knowledge sharing. | |
|
Incident Communication Protocols Clear and prompt updates from vendor for high-impact incidents. |
Incident communication and notification protocols are documented. | |
|
Proactive Product Roadmap Updates Regular communications about new features and upgrades. |
Communicates product roadmap, new features, and updates regularly. | |
|
Custom Development/Enhancement Services Ability to commission bespoke features or integrations. |
Custom development for client-specific needs and integrations available. | |
|
Online Ticketing & Self-Service Portal Web interface for issue logging and tracking resolutions. |
Online ticketing and client portal for support provided. |
Cost, Licensing & Deployment Options
(10 Yes /10 Known /10 Possible features)
|
Transparent Pricing Model Upfront disclosure of all costs (licenses, users, data, support, upgrades). |
Transparent, published pricing model for licensing and services. | |
|
Flexible Licensing Options for subscription, perpetual, or usage-based licenses. |
Flexible licensing models (subscription, usage-based, etc.) described. | |
|
Pay-As-You-Go Option Pricing available based on actual portfolios or usage. |
Pay-as-you-go licensing options available for some clients. | |
|
Multi-Tenancy Support Bulk pricing for organizations with multiple business units or geographies. |
Multi-tenancy with bulk pricing for large organizations/geographies. | |
|
Cloud Deployment Option Available as SaaS or in major public clouds. |
Cloud/SaaS deployment available. | |
|
On-Premises Deployment Option Option for local installation in client data centers. |
On-premises deployment option is available for clients. | |
|
Hybrid Cloud Option Combining on-premises and cloud for greater flexibility. |
Hybrid cloud configurations for infrastructure flexibility are offered. | |
|
Trial/Evaluation License Risk-free evaluation period for testing and analysis. |
Risk-free evaluation/trial periods offered for qualified prospects. | |
|
Cost Scalability Ability for pricing to scale up or down as team or portfolio numbers grow/shrink. |
Pricing scales with number of users/portfolios, per vendor documentation. | |
|
No Hidden Fees Assurance that all major costs are disclosed; no unplanned upcharges. |
No hidden/undisclosed fees, as contractually guaranteed and referenced in procurement documentation. |
This data was generated by an AI system. Please check
with the supplier. More here
While you are talking to them, please let them know that they need to update their entry.