skip to main content
Close Icon We use cookies to improve your website experience.  To learn about our use of cookies and how you can manage your cookie settings, please see our Cookie Policy.  By continuing to use the website, you consent to our use of cookies.
Global Search Configuration

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

Related Products

$name

Flexible solutions | Financial intelligence

Client Engagement Research

Technologies are advancing. Channel engagement is changing. It’s time to set aside old-fashioned customer engagement scores.

Key benefits:

  • Deeper insights
  • Strategic advantage
  • Online dashboard and reporting

csiq