Limit Checks

While possibilities are endless in the realm of private banking and investment, two elements set the limits within which these take shape – policy and regulations. In the first case, asset managers and depositary banks deal with the lines of action laid out by investors or fund prospectus themselves. In the latter, the operational boundaries are set by local and international directives.

In either of those cases, there are rules to meet. When breaches occur, fund managers risk to face hefty fines or to lose the basis of all functioning investor-to-manager relationship – trust.

The investment limits monitoring component of Depowise removes the danger of accidentally breaking those boundaries. Tailoring the configuration of limit checks and notifications on the rules to follow, be them at the fund or institutional level, the software automatically detects breaches and ensures effective compliance.

Deal flexibly with fund-based and international rules

At the macro-level, international directives set the limits of financial ventures in economic space. At the micro-level, funds define the investment rules that distinguish each portfolio from another and are coherent with investors’ risk profile.

Staying compliant with a pool of multi-layered rules is a challenging and resource-intensive task. However, it can be automated in a simple and intuitive way. Depowise allows users to personalise the boundaries of their own lines of action. By configuring the limit checks accordingly, asset managers are able to keep the compliance on portfolio composition, holding limits, counterparty risk, and much more, always under control.

Set the strategy, intervene only when necessary

Once the rules are set, Depowise takes care of ensuring the compliance of your operations with them. A Result widget gives you an overview of the rules that are being monitored, as well as the outcome of the checks that were automatically run. The relevant reports are attached for you to inspect, allowing users to dig deep into the results of their own work.

Depowise indicates precisely where shortcomings may lie, or which operations breach the rules that were defined. This allows asset managers to keep up the pace with changing regulations, and depositary institutions to detect more quickly the lines of action that need revision.

Overall compliance and trust ensured at all times

No matter the level of the rules analysed, whether they come from the UCITS Directive or own investment policy arrangements, Depowise empowers fund managers to constantly ensure compliance.

When the house must be kept in order, even the smallest detail may crack a perfect picture. Through the investment limits monitoring module, asset managers grow and improve their own accountability towards both investors and auditors. Restrictions are consistently checked in the background as changes are made in the investment portfolio, and users receive relevant notifications when specific policy lines require their attention.