Client Need:
Ensure that the orders generated by their portfolio models do not breach fund mandates.
Monitor fund exposures to ensure post trade compliance with fund mandates.
FMO Solution:
FMO provides clients with a Compliance Module where they create rules according to fund mandates that can either be enforced whilst sizing orders in the FMO Portfolio Modeller or can be run as a Post Compliance Report.
The compliance module can enforce rules such as maximum exposure to a particular country/region/sector, minimum cash balances, and bans on individual stocks or industry (e.g no tobacco/gambling),
FMO has assisted clients in minimising breaches of fund mandates by prevention through pre-trade compliance checks on orders generated in the FMO Portfolio Modeller, or at least quickly identifying breaches through FMO’s Compliance Reports for urgent resolution.
