Pre/Post-trade Compliance

Compliance is an essential tool in the day-to-day operations of any firm. Regulations can range from ones which are enforced by the government to guidelines issued by your own clients to those arising from your own internal policies. As a result, it can be difficult to ensure that your portfolios comply.

Harmony has a wide range of options that allow for even the most complex rules to be set up and enforced.

Compliance rules created in Harmony can be bound to one account or may extend to many individual accounts. This will allow you to maintain a unique set of guidelines for each of your portfolios, so that you may avoid the unnecessary process of having to set up hundreds of individual rules.

With 5 distinct levels of compliance, you can create rules that encompass a single security, industry group, asset class, classification, the whole portfolio or a combination of any two.

With rules defined in Harmony, compliance testing is as easy as running a Compliance Verification Report (as seen above). Harmony automatically fetches the compliance rules bound to each account and produces a report detailing exactly what complies and what does not, along with the portfolio's current values. With Harmony both pre-trade and post-trade compliance reports can be run.