Asset Manager Compliance Workflow
Pre-Trade Compliance Workflow
The process of ensuring trades comply with regulations and client mandates before execution
Investment Strategy Definition
Compliance Rule Configuration
Order Creation
Pre-Trade Compliance Check
Compliance Resolution
Order Approval
Investment Strategy Definition
Define investment objectives, risk tolerance, and constraints
Compliance Rule Configuration
Set up regulatory and client-specific rules in the compliance system
Order Creation
Portfolio manager creates trade orders
Pre-Trade Compliance Check
Automated system checks orders against compliance rules
Compliance Resolution
Address any compliance violations before execution
Order Approval
Final approval of compliant orders