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Taking care of compliance

CIQ | Data analysis and tools | Financial intelligence

Help your compliance department stay on top of promises made to clients by financial advisors.

ComplianceIQ allows allocation monitoring, as well as monitoring holdings, performance and other statistics against agreed limits.

How it works
ComplianceIQ monitors up to 17 different rules, including:

  • Target allocation
  • Restricted securities
  • Concentrated positions
  • Risk and return
  • Quality ratings
  • Portfolio turnover
  • Performance vs benchmark


It carries out violation tracking, and logs when policy exceptions are resolved, keeping a record of when the issue was closed, tasks sent to other users and notes on the issue.

How ComplianceIQ can help

  • Manage workflow
  • Create an audit trail
  • Integrates with our performance reporting products

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