skip to main content
Close Icon

In order to deliver a personalized, responsive service and to improve the site, we remember and store information about how you use it. This is done using simple text files called cookies which sit on your computer. By continuing to use this site and access its features, you are consenting to our use of cookies. To find out more about the way Informa uses cookies please go to our Cookie Policy page.

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

What's included

Violations tracking

Violations tracking

ComplianceIQ keeps track of violations of rules over time.

compatibility with other products

Compatibility with other products

Data transfer with Scorecard and Performer.

Email alerts

Email alerts

When new data is posted with summary of issues found.

Exception age tracking

Exception age tracking

So recurring exceptions are highlighted.

Any questions?

If you have questions about how Informa Financial Intelligence can assist your business, please fill out the form below and we'll get back to you shortly.

If you prefer to get in touch by phone, please refer to the About section of our website for a list of our offices and contact details. 

Would you like to request sample data or analysis from Informa Financial Intelligence? 

See how our tailored solutions can help you gain a competitive advantage: 

Related products

Some of our other top solutions are itemized below. For our full suite, please see Products & services

PIQ | Financial Intelligence

PerformanceIQ

Create fast, reliable, third party-verified performance reports for client presentations.

Key benefits:

  • Dedicated data management team
  • Investment monitoring and risk analytics
  • Enhanced communication
PSN | Financial Intelligence

PSN Enterprise

Unlock a universe of investment information, analytics and tools with the largest Separate Account database.

Key benefits:

  • Logic function
  • Presentation designer
  • Hybrids system
WIQ | Financial Intelligence

WealthIQ

Give your sales force the tools to create compelling, compliant client proposals fast.

Key benefits:

  • Asset allocation
  • Portfolio construction
  • Investment Policy Statements