Trading and Compliance Solution

Streamline Trading and Reduce Risk with a Single Solution

In today’s increasingly complex and fast-moving markets, Advent’s Trading and Compliance Solution helps you maximize efficiency and minimize risk without missing a step. It provides an intuitive, centralized location for making and executing trading decisions with speed and confidence. So you can keep pace with the markets while adhering to client mandates, your firm’s investment policies, and ever-expanding SEC regulations.

Advent’s Trading and Compliance Solution is an integrated platform encompassing:

• Moxy,® Advent’s industry-leading trade order management platform
• Advent Rules Manager® for proactive rules checking and portfolio monitoring

Critical Compliance Functionality

• Comprehensive, preventive rule-checking and proactive controls, so you know when a trade you are about to make falls outside guidelines —before you make it.
• Portfolio drift monitoring alerts you when a portfolio’s composition drifts off strategy.
• Issue tracking creates an audit trail for recurring trade failures.
• Comprehensive, automated record-keeping makes it easier to prepare for SEC exams.
• Rules home page gives you a complete view into your compliance activity.
• Secondary approval means rule override requests are automatically sent to the compliance team and require “four eyes” for approval.

Demonstrate Best Practices to Clients and Regulators

Our Trading and Compliance Solution provides a window into your firm’s portfolio construction, trading and compliance practices. With end-to-end transparency into your processes, you can meet operational due diligence standards and demonstrate best practices to both clients and regulators.