Key Investment Compliance Considerations for Pre and Post Trade Monitoring

The asset management industry is navigating choppy seas amid the pandemic. The significant rise in trading volumes has resulted in an exponential spike in volumes of pre- and post-trade alerts. To effectively manage this surge and maintain operational efficiency, our solution provides a strong focus on both pre trade compliance and post trade compliance, helping you avoid regulatory breaches and minimize risk.The pandemic has had a two-fold impact: an increase in pre- and post-trade volumes, and shrinking inflows and margins for asset managers. Cost management has led to a visible tightening of budgets and downsizing. This insight paper discusses the COVID-19 impact and solutions – not only to cushion the blows, but also help chart strategies to sail through this crisis. Our platform offers a streamlined solution that not only manages the increased volume of alerts through efficient pre trade monitoring, but also ensures effective pre trade compliance, preventing costly guideline violations before they occur. It also provides comprehensive post trade monitoring to rapidly detect and address any issues after execution, supporting overall post trade compliance

Key Takeaways

• Pain points in managing pre- and post-trade volumes, including the challenges of maintaining pre trade compliance and post trade compliance with limited resources..
• Right team size – key in terms of guideline monitoring; we explain this in the context of the pandemic.
• The importance of data structure – the backbone of the pre- and post-trade functions – cannot be overstated. A well-designed data structure is essential for effective pre trade monitoring and post trade monitoring, ensuring accurate and timely detection of potential issues.

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