For Investment Managers, the Investment Monitoring service allows compliance and risk teams to monitor internal regulatory and risk rules from within the platform.

Using the same datasets already sent to your environment, you can configure the templates to meet your business needs, reducing the time typically required to set up and maintain internal compliance and risk rules.

The service has eight rule templates, and we will add additional rules based on client demand.

The rules are:

The Investment Monitoring service will be available through your existing platform via a new product in the top navigation menu. Access will come with a commercial uplift.

We've developed eight rule templates for users to configure and assign to portfolios and entities.

Additional rule templates will be added based on demand, at our discretion. It's possible to extend the data specification to allow additional investment types to be sent to the platform.

For a given country, it's possible to set the percentage of portfolio exposure you wish to be alerted to if it comes close to or exceeds. The country is based on the CountryOfIncorporation property and must have a valid ISO country code as its input. The portfolio exposure is based upon the Total Net Assets on the portfolio, a value that would be supplied by the client in portfolio currency. A breach alert will be flagged if a holding exceeds the % limit.

A user would configure the Country Exposure rule by uploading the template below in the UI:

This rule can be configured at both the entity and portfolio levels. Once configured, you will be able to view and then amend the parameters that have been set.

A limit can be set for a given issuer based on the percentage of Total Shares Outstanding they wish to be alerted to if total economic exposure is close to or exceeds.

For example, a user could configure the following:

This rule can be configured at both entity and portfolio levels, allowing users to calculate and monitor their total economic exposure to issuers in which they may have internal limits (total of Equities, equity derivatives and composite look-through).

The limit percentage can be set to 0% for issuers for which investment managers may be blocked from investing.

For a given currency, the percentage of portfolio exposure can be set to alert you if you are coming close to or exceeding it. The currency is based on the instrument currency and must be a valid ISO currency code. The portfolio exposure is based upon the Total Net Assets on the portfolio, a value that would be supplied by the client in the portfolio currency.

This rule can be configured at both the entity and portfolio levels.

For example:

For a given asset class, set the percentage of portfolio exposure you wish to be alerted to if you are coming close to or exceeding it. The asset class is based on the asset class you have mapped instruments to and must match the values found in your environment. The portfolio exposure is based upon the Total Net Assets on the portfolio, a value that would be supplied by the client in portfolio currency.

This rule can be configured at both the entity and portfolio levels.

For example:

A limit can be set based on the percentage of Total Shares Outstanding for a given country. This will alert clients if the total economic exposure to an issuer incorporated in the selected country is close to or exceeds the limit.

This rule can be configured at both entity and portfolio levels, allowing users to calculate and monitor their total economic exposure to issuers incorporated in the specified countries, where clients might want to monitor limits not related to Shareholding Disclosure, such as tax limits (total of Equities, equity derivatives and composite look-through).

The limit percentage can be set to 0% for countries in which investment managers may be blocked from investing.

For example, a user could configure the following:

If you want to learn more about the Investment Monitoring service, please contact your Account Manager.

A limit can be set for a given instrument, based on the percentage of Class Shares Outstanding you wish to be alerted to if total economic exposure is close to or exceeds it. The instrument is identified by its ISIN.

For example, a user could configure the following:

This rule can be configured at both the entity and portfolio levels. The limit percentage can be set to 0% for instruments in which investment managers may be blocked from investing.

A limit can be set based on the percentage of Total Voting Rights for a given country. This will alert clients if the total economic exposure to an issuer incorporated in, or headquartered in, the selected country is close to or exceeds the limit. Both countries must be valid ISO country codes, and one can be left blank.

For example, a user could configure the following:

This rule can be configured at both the entity and portfolio levels.

A limit can be set for a given issuer based on the percentage of Total Shares Outstanding you wish to be alerted to if the net short exposure is close to or exceeds it.

The limit is entered as a negative or positive percentage in the LowerLimit column: -3% and 3% both set a limit of -3%.

For example, a user could configure the following:

This rule can be configured at both the entity and portfolio levels.