The Solution

Turn trading policies into automated processes

Advent Rules Manager is a comprehensive solution for pre- and post-trading compliance, eliminating manual labor and improving accuracy. Working together with Advent’s Moxy® trade order management system, Advent Rules Manager allows you to implement the proactive controls demanded by regulators, manage your clients’ complex restrictions, and improve compliance readiness – demonstrating that your firm is following best practices in managing risk.

Why choose this solution

  • Proactive, pre-trade rule checking
  • User-friendly rules creation template library, for compliance automation.
  • Rules home page with view into compliance activity
  • Portfolio holding checks to determine whether trades will affect portfolio composition
  • Rule suppression for approved trading exceptions
  • Audit trail to see which rules were applied, when and by whom
Serving institutional clients, we’re seeing more numerous and complex restrictions on what we can buy and hold in their portfolios. Rules Manager gives us a better way of managing that and integrating it into our trading workflow.
Peter Rieke, Chief Compliance Officer and Manager of Information Technology
Disciplined Growth Investors

Make compliance simple

Comprehensive dashboards allow the compliance team to monitor current issues, newly assigned rules, and the ability to respond to override requests and secondary approvals.

Ensure pre-trade compliance

Receive alerts when potential rule violations occur, with options to exclude portfolios or request approval from designated compliance users.

Advent Rules Manager

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Advent Portfolio Exchange

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Moxy

With capabilities spanning portfolio modelling through to trade creation, execution, confirmation, allocation and settlement, Moxy® seamlessly improves operational efficiency.

One solution for clients, regulators and auditors

Protect clients during trading, honor investor preferences, and support key elements of industry regulations with Advent Rules Manager. Benefit from easy-to-implement rule guides, flexible coverage options and automated reporting.

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