Fiduciary Accounts and Risk Management Monitoring

The Benefits:

Lower compliance costs enabled by "One stop shop"- Automated solutions from one partner, all with case management and audit trails;
Time gain- Less on-site time by regulators, less time for the annual review, less overhead due to work automation and less time for the arduos and daunting tasks of gathering, organizing and analyzing data;
Reduced regulatory and fiduciary risks because our system minimizes surprises and losses;
Competitive advantages in asset gathering and retention- Investors enjoy enhanced trust, comfort and confidence during due diligence efforts due to the independence of our system.

Fiduciary Risk Monitoring and Management

After a portfolio is constructed, our software monitors risk and other characteristics at both the portfolio and security levels to insure overall prudent risk management, adherence to investment policy and that risk tolerance levels are not breached. Using data from client and third party systems, the software will alert and report when they fall outside pre-determined guidelines. The characteristics calculated and monitored include many of the portfolio management process characteristics and modern portfolio theory statistics, re-allocation and re-balancing triggers, capital markets conditions, sector and industry conditions, security/company conditions, security level risk rating(s), approved security selection list(s), etc.

Additional Features of this module

Global Security Master File: FTT maintains a global security master file and updates it daily to insure accurate and timeliness of security data. The master file is comprised of all security types and corresponding market, fundamental and indicative data required to provide services.

Exceptions Resolutions Archiving and Tracking: All exceptions to guidelines are archived and aged by calendar until closed by the compliance user. This feature provides for both “notes to the file” capabilities as well as audit trails for internal or regulatory audit purposes, or both.

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