Regulatory Compliance Monitoring

PMplus provides comprehensive “Investment Restriction Monitoring”


PMplus utilizes its built-in OMS to facilitate pre-trade checking against predetermined rules to highlight any trades that may cause a breach. Comprehensive post-trade checking is built into the system. All rules are customizable at the portfolio level and market-standard rules are available including Mifid requirements. Portfolio Managers are notified of any possible breach and can take suitable action tracked by operational work-flow tools. One of the key features of PMplus is the capacity to do pre-trade, post-trade , pre-NAV and post-NAV control monitoring.

Where you have a third-party breach monitoring system or breaches advised by an external Administrator, PMplus can ingest this data into its compliance workflow via a ‘breach data loader.