Portfolio Compliance Checking Versus Investment Policy or Mandate or Securities' Laws, or Combination

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.

Portfolio Management Process Checking

FTT continuously monitors characteristics of each portfolio, and its constitutive holdings, and alerts when they fall outside of regulatory or investor or manager process and philosophy guidelines, or combination. Further, via intelligent filtering, our software alerts when undesired trends and patterns develop in exceptions/violations over time. Online access is available 24/7 to view any of these details. Below is a partial list of guidelines available:

Groupings of all kinds: all asset classes, style, sector, industry, sub-industry, geography, type, etc.
Security level attributes
Performance dispersion across accounts and by both absolute and relative
Portfolio pumping detection
Portfolio turnover dispersion
Market value
ERISA and IRS requirements
Federal securities laws
Securities allowed/not allowed
Prohibited transactions with affiliates
Size of position
Leverage allowance
Prohibited or illiquid securities
Derivatives
Short positions

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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