Investment Policy Compliance Monitoring

Automated Investment Policy Monitoring Made Easy With Clearwater

In a market environment where credit ratings can shift overnight and accounting rules change frequently, ensuring your investment portfolio is in compliance with your company’s investment policy is no easy task. Whether you rely on manual spreadsheets, a compliance monitoring system tied to a holdings report, or information from your various asset managers, it’s difficult to have a “complete” view of investment policy compliance.

With Clearwater’s flexible investment policy compliance solution, there are no more spreadsheets, frantic calls to your investment manager, or delayed month-end reports that reveal your investments were out of compliance. Clearwater compliance provides investors with a web-based, automated investment policy monitoring solution that puts up-to-date compliance information at your fingertips.

"With Clearwater’s flexible investment policy compliance solution, there are no more spreadsheets, frantic calls to your investment manager, or delayed month-end reports that reveal your investments were out of compliance. Clearwater compliance provides investors with a web-based, automated investment policy monitoring solution that puts up-to-date compliance information at your fingertips."

– Bill Bascom, Assistant Treasurer, Intuit

Once your investment policies are loaded into Clearwater, including your accounting-based policies, you’ll know exactly which rules are in violation and can easily drill down to the position, tax lot, or individual security. If a policy rule is out of compliance, automatic notifications are sent showing the date each violation occurred and a list of new violations. On a daily basis, Clearwater provides you with actionable, up-to-date information regarding portfolio compliance. And because it’s integrated, automated, actionable, and accurate, Clearwater’s compliance functionality removes any doubt as to whether your portfolio is compliant with your investment policy.

Clearwater Compliance Features

  • Customized to match your investment policy—or policies
  • Flexible rule-writing capabilities
  • Monitoring at individual account, composite, and aggregate levels
  • Reflects daily changes in security value and characteristics
  • Accounting-related compliance monitoring
  • Automated notification of status and violations
  • History tracked by date and by rule
  • Credit watch report
  • Dashboard-style reports with drill-down to detailed violations
  • Web-based system provides access anywhere, anytime
  • Dedicated Client Service team handles any updates

Benefits of Clearwater Compliance

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  • Transparent: Single, consolidated view of investment policy compliance with a complete audit trail
  • Accurate: Compliance data aggregated, reconciled, and validated daily
  • Detailed: Drill down to the rule and violation details
  • Flexible: Customized to match your investment policy
  • Efficient: Staff is freed to work on strategic projects rather than manually rekeying data
  • Timely: Intuitive, web-based interface is accessible anytime, anywhere
  • Integrated: Accounting, compliance, performance, and risk reporting in one solution
Investment Policy Compliance Monitoring

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