Investment compliance has become increasingly vital within the wealth management industry. Compliance Officers need flexible tools that allow them to implement constraints across an entire department, or within just one client account. They need to be able to target a single asset or a whole industry. And they need to be able to implement both pre-trade constraints and post trade reports.
Specific Asset Constraints
The APCO System has been designed to handle the complexities of investment compliance throughout the trading process. The APCO System begins by importing any constraints already maintained in external systems, like pledged holdings, approved securities, etc. APCO then complements these with numerous additional rules maintained by the Compliance Officers.