50 configurable rules across 6 categories with pre-trade, post-trade, and end-of-day check modes.
Compliance enforces the rules the portfolio must obey. 50 rules across 6 categories (concentration, sector/industry, credit, liquidity, counterparty, and mandate-specific) in three check modes: pre-trade (called by the allocator dozens of times per block), post-trade (immediately after execution), and end-of-day (full-portfolio scan). Every evaluation produces an audit-ready record with the rule, the inputs, the evaluation logic, the timestamp, and the outcome.
3 reports in this category. Every cell is clickable to the source row.
Which securities are we blocked from trading, and why?
Consolidated restricted-list view spanning insider windows, regulatory blocks, mandate exclusions, and client-specific restrictions. Each entry records the source, the reason, the effective dates, and the authorizing party. Queryable by any order before it routes to the street.
Is my portfolio in compliance with every mandate rule right now?
Live dashboard evaluating every mandate rule — concentration limits, sector caps, rating thresholds, duration bands, liquidity minimums, ESG screens — against the current book. Flags breaches with the specific rule, the offending position, and the distance to the threshold.
Will this trade break any rule before I send it — and can I prove it didn't after the fact?
Pre-trade checks run before a trade releases to the market (restricted list, affiliated-party, wash-sale, mandate compliance). Post-trade review after execution closes the audit loop with a full evidence package — rule, inputs, evaluation logic, decision, timestamp.