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Compliance - Regulatory


FA’s Compliance - Regulatory provides you with tools for regulatory reporting, such as MiFID II and GDPR, and supports monitoring of both external and internal requirements from company-level rules to portfolio-specific restrictions.


Monitor your customers and portfolios

  • Monitor value drops in your portfolios and assets - automatically send notifications when the value of a portfolio drops by 10% since its previous reported value or previous warning. You can also aggregate each client's portfolios and generate warnings based on drops in the aggregated value. You can decide to send warnings via e-mail directly to your clients, to your clients' representatives, and/or to specific other individuals. You can choose to automatically record tasks from the warnings, including a full list of all new value drops as a .csv file. Follow the warning tasks through the Task Management module.

  • Monitor unused portfolios - track and close portfolios that did not have holdings or transactions for the past period of time.

  • Monitor corporate clients' LEI codes - keep track of corporate clients' LEI codes and their validity dates, and generate warnings when corporate clients do not have valid LEI codes.

Generate regulatory reports

  • Report ex-ante / ex-post costs - generate reports which break down your portfolio's ex-ante and ex-post costs according to regulation. These cost reports break down your costs into costs related to "Investment services" and "Financial instruments" (further broken down into one-off charges, ongoing charges, transaction costs, ancillary services, incidental costs, and other costs) and "Third-party payments", according to your cost categorization. These reports also show your portfolio's return before and after costs are applied: ex-post cost report shows actual performance and costs during a specified time frame, whereas the ex-ante costs report projects a given investment's or portfolio's costs into the future. You can import MiFID II cost information via Data Aggregation (EMT file importer), or Market Data Connector modules.