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compliance management

Compliance

Establish and apply rulesets

  • Manage firm-wide and entity-specific rules from a single, standardised library
  • Ensure consistency, control, and transparency across the organisation
  • Generate scheduled or ad-hoc reports in seconds
  • Eliminate manual data gathering and reduce reporting overhead
  • Instantly detect breaches and assign ownership
  • Automate workflows to reduce risk and accelerate resolution

Features

Compliance monitoring

Support for evaluation of compliance rules as part of a pre-trade workflow or post-trade as part of regularly scheduled or ad hoc processes. Includes compliance dashboards and external reporting

Compliance rules

Support for management of rule libraries and individually customised rules, with access to all the relevant data attributes stored in FINBOURNE

Integrations

Integration between FINBOURNE’s Compliance capability and external compliance platforms, for example allow the results of externally-performed compliance checks to be displayed and managed within FINBOURNE

Reporting

Configurable reports to provide intelligence on state of compliance health across all or subset of portfolios

Example use cases

Ethical investing compliance

Challenge

  • Ensuring portfolios meet ethical or ESG mandates is slow and unreliable when based on manual checks and manager reports.

 

FINBOURNE solution

  • Automatically ingest and screen holdings data in real time across multiple sources. Detect restricted exposures instantly for consistent, auditable policy alignment.

Pre-trade compliance

Challenge

  • Monitoring complex rules, such as geographic, sector, or issuer limits, requires manual data handling, increasing the risk of delayed or missed breaches.

 

FINBOURNE solution

  • Use automated tagging and real-time rule checks to catch breaches before execution, ensuring proactive, compliant decision-making.

Ready to see FINBOURNE in action?

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