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

Using the same datasets already being sent to FundApps, users will be able to configure the templates to their own business needs, reducing the time usually required to set up and maintain internal compliance and risk rules.

The service will initially have five rule templates, and FundApps will add additional rules based on client demand.

The five initial rules will be:

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

The below shows how the results will be displayed. Selecting a result will show all investments that have been included in the calculation.

FundApps initially developed five rule templates for users to configure and assign to portfolios and entities.

Additional rule templates will be added by FundApps based on demand but will be at the discretion of FundApps. FundApps can support the extension to the data specification to support additional investment types being sent to the platform.

Example of how the templates are viewed and configured below:

For a given country, it's possible to set the percentage of portfolio exposure you wish to be alerted to if coming close to or exceeding. The country is based on the Country Of Incorporation and must have a valid ISO country code. 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 below template in the UI:

This rule is intended to be configured at the Portfolio level and in the UI. 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 exceeding.

For example, a user could configure the below:

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 in 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 upon 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 is intended to be configured at the Portfolio level.

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 upon the FundApps asset class you have mapped instruments to and must match the FundApps values. 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 is intended to be configured at the Portfolio level.

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 below:

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