Compliance

Tailor For My Firm
  • Tailor For My Firm
  • Asset Manager
  • Broker Dealer
  • Endowment / Foundation
  • Family Office
  • Fund Administrator
  • Fund of Funds
  • Hedge Fund
  • Independent Advisor
  • Prime Broker
  • Wealth Manager

Managing the New Regulatory Landscape

No question, compliance has become a bigger drain on time and resources than ever before. Fortunately, we can alleviate much of the pain. Virtually all of our solutions support compliance by keeping information secure with audit trails and easily retrievable for regulatory reporting. And they significantly reduce your operational risks through automation. With Advent, you have the controls and safeguards in place to satisfy regulators and clients alike.

TOP THINGS TO KNOW

1
We’re helping clients adapt to the new and ever-changing regulatory landscape globally.
2
Our trading compliance solution eliminates manual checking and reduces the risk of errors.
3
Our solutions for portfolio management, client management and trading provide transparency into your firm’s policies, practices and decisions.
4
Our research management solution enables you to document the reasons for every buy and sell decision, as required for compliance.
5
We make it easy to respond to regulatory requests and stay prepared for an exam at all times.

FEATURES YOU'LL NEED

Multiple security layers to protect client and portfolio data
Ability to document investment decisions
Ability to produce regulatory reporting as required or on demand
Audit trails within systems that show when and by whom changes were made
Automated trade checking and portfolio drift capture for adherence to client directives and policies

MORE FEATURES

Accurate performance calculations and portfolio valuations
Accurate fee calculations and invoicing
Automated reconciliation to reduce risk of errors
Standardized fair allocation
Commission tracking for “best execution” efforts
Up-to-date records of all client contact, correspondence and agreements
Secure, automated connectivity with brokers and custodians

FEATURED CLIENT STORY

Hunter Associates, Inc.

Dually registered broker-dealer and RIA needed more flexibility than it’s previous portfolio accounting system offered and found APX to be the only system that offered the flexibility they needed.

MORE CLIENT STORIES


Cortina Asset Management

Avalon Advisors, LLC

Featured White Paper

Uncovering the True Cost of Compliance

ADDITIONAL RESOURCES

Hedge Fund Compliance
Compliance: The Five Red Flags
Managing risk in a new world
Mitigating the Impact of AIFMD
Support for FATCA Compliance

Next Steps

Want to know more? Talk to one of our solution specialists. No sales pitch, just straight answers. We'll listen and help you determine if our solution fits your needs.

Contact Us

To speak to an Advent representative immediately, please dial: +1 800 727 0605

Or visit our Worldwide Offices page and locate one of our representatives at an office near you.

Email Us: info@advent.com