Apart from mitigating business risk, there are significant cost savings associated with ensuring accurate compliance. Financial Simplicity helps control business risk by supporting four key compliance ingredients which, unlike other methods, can be implemented as part of the sales and operational process.

• Portfolio Rebalancing Compliance - A unique feature to ensure portfolio compliance with your investor client profiles in an 'exceptionless' (ie no extra workflows or effort required) manner. No pre-trade compliance checking resources are required, therefore there are no delays in getting your investment decisions to market.
• Portfolio Review Compliance - Allows individualised review of each and every portfolio against definable asset allocation ranges, stock density, stock rating and other possible compliance breaches. This capability enables compliance officers to identify quickly and easily those portfolios requiring immediate attention.
• Portfolio Implementation Compliance - Financial Simplicity supports a series of collaborative workflows that can ensure that appropriate authorised users can check and verify portfolio adjustments prior to being implemented. These workflows can span across investment professionals or even different organsiations.
• Portfolio Trade Compliance - Financial Simplicity supports bulk trade allocation to participating portfolios in an exception-less (again no extra workflows or resources required) fashion, often replacing 'post trade' compliance resources or effort. In doing this function, the software considers all relevent rules, preferences and constraints associated with each and every investor portfolio - amazing !

Compliance should be integral to the sales and portfolio management process, not a costly workflow nor afterthought. By ensuring that portfolio recommendations and adjustments are, in effect, 'pre-compliant', there is no no need for specialist 'checking' or dedicated 'compliance workflow' resources.