Advent Rules Manager

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

Automate trading compliance

Advent Rules Manager dramatically cuts the time your staff spends checking trades against client and policy restrictions. And it reduces the risk of errors that are bound to happen in manual trade checking. Used with Advent’s Moxy® OMS, it frees compliance teams to focus on exceptions. And when investors are doing their due diligence, Advent Rules Manager demonstrates that your firm is following best practices in managing risks.

BUSINESS NEEDS ADDRESSED

1
Compliance
2
Reporting

FEATURES YOU'LL NEED

Proactive, pre-trade rule checking
Easy-to-use template library for creating rules to automate compliance
Rules home page with view into your compliance activity
Portfolio holding checks to determine if trades will affect portfolio composition
Rule suppression for approved trading exceptions
Audit trail to see which rules were applied, when and by whom

MORE FEATURES

Avoid compliance breaches and adhere to client mandates
Redirect staff from laborious checking to more productive activity
Remove impediments to fast and efficient trading
Keep portfolios in line with investment guidelines
Be better prepared for a regulatory request or exam
Demonstrate effective compliance for investor due diligence and investment consultants’ questionnaires

FEATURED CLIENT STORY

Disciplined Growth Investors

Employee-owned RIA known for “high-touch” client service model added APX with Moxy and Advent Rules Manager to deliver a more seamless integration between portfolio management, client relationship management and reporting.

MORE CLIENT STORIES


Klingenstein, Fields & Co.

Sentinel Investments

Advent Rules Manager

Portfolio Monitoring and Trading Compliance

With Advent Rules Manager, a comprehensive solution for trading compliance and portfolio monitoring, you can turn your manual policies and procedures into automated processes and take compliance to a new level. Advent Rules Manager comes with easy-to-implement rule guides, flexible coverage options, and automated reporting, allowing you to protect clients during trading, honor investor preferences, and support key elements of industry regulations.

ADDITIONAL RESOURCES

Advent Rules Manager Product Brief
Advent Rules Manager System Requirements 16.2

Next Steps

Want to know more about Advent Rules Manager? Talk to one of our solution specialists. No sales pitch, just straight answers to help you make an informed decision.

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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