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Investment Guidelines
Keeping on top of complex guidelines is a challenge in a fast-paced industry – but an absolute necessity. With expertise across all major compliance systems and platforms, our hugely knowledgeable team will help you control the overall rule universe, and make sure your guidelines are compliant and mitigate risk.
How we work with clients
Our project team has the most knowledgeable investment compliance resources in the industry. We support our clients’ change initiatives, from extracting guidelines to coding and testing.
Our support includes:
- Best practice project implementation. Workflow design, rule extraction methodology, creation of asset trees, rule coding to standards, rule testing and documentation, operating model design
- Quality assessment of investment compliance. Making sure rule coding is consistent, accurate, efficient, to agreed coding standards and reconciles with the investment guidelines
- Setting-up investment compliance function. We assess and advise on pre and post-trade risk mitigation and the coverage of instrument and rule types.
- Investment guidelines support. We provide day-to-day investment guideline monitoring assistance
- Operating model design. Our designs ensure investment compliance runs efficiently, is scalable and achieves high-risk management standards
- Regulation rule validation and coding. We offer a regulatory rule specification, coding, and testing service
Why Alpha?
We specialise in your sector. Over the years, we’ve built what’s regarded as the most knowledgeable investment compliance resources in the industry.
We offer clients an end-to-end service of first-class coding and testing, including system’ functionality, coding quality and the use of data.
Our specialist team has an unparalleled track record in supporting the world’s leading asset managers with the most complex investment compliance implementation initiatives.
Q&A with Jonny Holmes, our Senior Investment Guidelines SME
What are the key challenges facing your clients?
The challenge is not so much knowing what to do but how best to do it. For example, how do we structure data to create the “building block” definitions of assets that can be used for coding compliance rules?
Or, how do we set up an investment guideline operating model that manages interpretive issues as well as standard definitions?
What can you do to help clients mitigate risk?
A lot of it comes down to the use of data and the consistency and quality of the coding. We’ve got huge experience in building and managing investment compliance functions that mitigate guideline risk on a pre-trade basis. By helping design an efficient investment compliance operating model, we can provide best practice contractual and regulatory investment guideline risk mitigation.
How do clients stay on top of ever-changing guidelines and compliance?
Mostly by putting a robust system in place. Standardising rule names, removing duplicate rules, creating best practice compliance rule test planning, and documentation. But also, by talking to specialists like us who are constantly looking for new and better ways to do things – and bringing insights and experience from across the whole industry.