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MAIA Compliance supports the complexity and scale of pre-trade, in-trade, and post-trade checks required by leading-edge investment management organisations
Regardless of the size of your organisation and the complexity of your trading operations, we know how essential a smooth and efficient compliance process is to the safeguarding of your investment portfolio.
We also understand that compliance is a nuanced process, with different priorities at each stage of the cycle. Where both detail and flexibility are needed at the order-creation stage, real-time, always-on visibility is required for scrutinising and handling risk further down the line.
More often than not, current workflows are relatively manual and spreadsheet-based, making the compliance and audit function clunky. But a heavyweight order management and portfolio management tool won’t cut it. MAIA Compliance is designed to dovetail with your existing ecosystem to easily solve compliance needs.
MAIA Compliance proactively protects the pre-trade portfolio from trading into a breach; including exposure and risk limits, restricted lists of securities, industries or issuers and fat finger checks.
MAIA Compliance carries out in-trade checks to ensure that orders are linked to the correct prime broker or custodian. The system can check market prices against limits or minimum trade and lot sizes as well as continually revaluing positions.
MAIA Compliance protects against post-trade passive breaches that occur because of non-trading events. Limits may be breached because of price/ FX rate movement or position lifecycle events. This runs periodically or always-on in surveillance mode.
MAIA Compliance ensures you can evidence the appropriate controls expected during operational and technical due diligence meetings, such as when implementing UCITS investment restrictions and risk limits.
MAIA Compliance is fully automated and can integrate new workflows quickly. An out-of-the-box, packaged solution, MAIA Compliance allows start-up managers and growing firms to derive value from day one.