Compliance

 

This fully integrated compliance module will make you feel secure and in control. It enforces compliance on complex mandates involving exposure on multiple asset classes. It transparently integrates to the robot-rebalancer, preventing breaches or automatically correcting existing ones. Rules maintenance costs might be a big issue. To lower them, iBalanceTM maximizes reuse through scoping, references and rules sharing. Every morning, the iBalanceTM factory will create what-if scenarios highlighting all non-compliant portfolios.

 

Sample constraints:

  • Canadian equities: Min 30%, Max: 50%
  • US equities: Max: 10% subject to (security not in S&P500)
  • Canadian equity instruments weight: Max:1.5 times the TSX capped index
  • IBM: Cannot Sell
  • Limit by Country: Exposure 10% Europe, Germany
  • Minimum 15 issuers
  • Only CA$ allowed
  • Minimum Rating: Moody A
  • Limit by issuer rating. S&P: BB, Min 10% of Fixed Income
  • Bond duration: Scotia McLeod +/- 1 year

 

 

 screenshot(s):

Compliance dashboard- Monitor breaches