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Portfolio Compliance

Customise and enrich your compliance reports with exactly the data you want in the format you want it in.
How do you regulate your fund managers without constraining them to the detriment of client relationships?
For the CIO (Chief Investment Officer) of a wealth management company, managing risk by balancing the need to regulate their large team of fund managers and tailor individual portfolios for clients is complicated. They need to know that portfolios:
Data Dashboard

Comply with the client-specific mandates

Lightbulb moment

Adhere to the current house view as specified by the CIO

Education dashboard

Fit the client’s risk return profile

Risk Governance

Represent the organisation’s view and philosophy and don’t pose a risk to the brand.

At the same time, a CIO knows that each fund manager has experience and views that can add value to their client's portfolios. Being able to use their fund management experience enhances the crucial relationship they have with their high-net-worth clients. So how does one harmonise all these elements in a Wealth Management Organisation?
Portfolio Compliance

Being flexible without compromising compliance

To accommodate all these requirements, a CIO has to allow fund managers a governable degree of freedom. Managers must be able to deviate from the house view but still be regulated by a set of constraints.

Such a system would provide the CIO with a management tool to monitor, evaluate, manage, regulate and review fund managers’ performance.

But how do you implement it in practice? This is a problem Quintessence has been developed to solve.

Governance that allows for individual expertise

Quintessence provides quick and easy access to all data in a wealth management organisation. Via a single interface, users can access the historical and current house views, market data and fund managers’ clients’ portfolio positions – the Investment Book Of Records (the IBOR).

With Quintessence, you can also create and store custom compliance requirements. Fund managers can be constrained by a set of deviation constraints which are specifically associated with them at a group, subgroup or individual level. These deviations can be set according to a region, asset class, sector and/or instrument level.

Your fund managers now have the freedom to customise solutions to the benefit of their clients while adhering to the CIO’s constraints. And the CIO can now access dynamic reports to:
Observe the deviation of clients’ portfolios relative to the house view
Monitor the dispersion of a fund manager’s total funds relative to the house view
Scrutinise investments mandated by the client that violate the house view and deduce the overall effect on the return of these positions
Evaluate all the deviations relative to the house view over time

Gain live oversight of compliance and performance with Quintessence. Learn more by speaking to us