at Financial Technnology Year
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Risk & Compliance
The unit focused on ensuring adherence to regulatory requirements, internal policies, and risk management frameworks. This team monitors investment activities for compliance with client mandates, regulations, and risk parameters.
This department is part of the Fund Management business area .
Products fall into the following categories:
Regulatory Compliance Systems
15 products
Platforms that track regulatory requirements, manage compliance workflows, and document adherence to various financial regulations such as UCITS, AIFMD, MiFID II, SEC rules, and other jurisdictional requirements.
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Investment Compliance Monitoring
13 products
Software that automatically checks portfolios against investment guidelines, restrictions, and regulatory limits to prevent breaches and ensure alignment with client mandates and fund prospectuses.
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AML and KYC Solutions
17 products
Tools for anti-money laundering screening, know-your-customer processes, and sanctions checking to ensure compliance with financial crime prevention regulations.
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Enterprise Risk Management Platforms
11 products
Comprehensive systems that identify, assess, and manage various types of enterprise risks, including operational, reputational, strategic, and financial risks across the organization.
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Trade Surveillance Systems
20 products
Solutions that monitor trading activities to detect potentially suspicious patterns, market abuse, insider trading, or other compliance violations through pattern recognition and behavioral analysis.
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Regulatory Reporting Tools
16 products
Software that automates the preparation and submission of required regulatory reports such as Form PF, Form ADV, AIFMD reporting, and transaction reporting under various regulatory regimes.
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Secure Communication Monitoring
19 products
Systems that capture, archive, and monitor electronic communications including email, chat, and voice to ensure compliance with recordkeeping requirements and prevent inappropriate communications.
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Data Privacy and Security Hardware
18 products
Physical security devices such as biometric access controls, secure servers, and encrypted storage solutions to protect sensitive client and investment data.
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