Streamline post-trade investment restriction monitoring with a highly automated, easily accessible solution, whether you re managing one portfolio or a thousand.
The Challenge: Regulatory Complexity Operational Inefficiencies
Asset Managers and Depositaries must monitor an increasingly complex array of regulatory rule sets, alongside prospectus limits, investment mandate agreements, industry sector classifications, sanctions, ESG criteria, and more. Robust systems and controls are essential to ensure portfolios remain in continuous compliance.
The Solution: Automated
Investment Compliance Monitoring
Our investment compliance monitoring platform unifies rule-checking, exception monitoring, and risk oversight into a single, configurable system. With over 2,000 pre-built regulatory, mandate, and prospectus rules (all maintained for jurisdictional accuracy), you can instantly strengthen compliance while reducing operational strain. All functionality is available out of the box.
This includes robust capabilities for multi-manager portfolios, share class hedging, look-through, illiquid assets, complex derivative strategies, and efficient portfolio management techniques such as stock lending and collateral monitoring.
Comprehensive, Customisable Rule Library
Pre-built and jurisdiction-specific rules, plus flexibility to adapt for firm-specific mandates.
Liquidity, Leverage, Counterparty Risk Monitoring
Track liquidity thresholds, leverage limits, and exposures across asset classes.
End-to-end process automations from data receipt to exception handling.
Jurisdictional Coverage Plug Play
Manage multiple domiciles with dynamic rule-set application from one interface.
Workflows AI Resolution Pathways
Automated breach alerts. Exceptions management workflow with integrated escalation tracking.
Built-In Data Governance
Data validation, reconciliation, and integrity checks for compliance confidence.
See Investment Compliance Monitoring in Action
Experience how Funds-Axis can streamline compliance workflows and reduce risk exposure.
Download our Investment Compliance Brochure to explore how our solutions can help you streamline oversight, reduce regulatory risk, and stay ahead of evolving compliance requirements.
The Impact: Measurable Risk
Reduction Operational Efficiency
Automate manual checks and reporting, freeing resources for higher-value work.
Stay ahead of evolving regulatory demands.
Extend monitoring to mandates, sector classifications, sanctions and screening.
Why Choose Funds-Axis for Investment Compliance Monitoring
Take control of your compliance infrastructure with a flexible solution designed for today s complex regulatory environment.
Easy Onboarding
Through data integrations with virtually all administrators, data-as-a-service capabilities, and pre-configured rule sets, we provide comprehensive, out-of-the-box investment compliance monitoring and regulatory reporting solutions, eliminating the need for complex and high-risk projects.
Regulatory Expertise
Our strength lies in our deep regulatory expertise. This is demonstrated by our pre-configured rule sets, the breadth of embedded regulatory content, and comprehensive sandbox testing and documentation across all rules.
Future-ready
Robust capabilities for alternative multi-manager portfolios, share class hedging, look-through, illiquid assets, complex derivative strategies, and efficient portfolio management techniques such as stock lending and collateral management.
End-to-end visibility
Comprehensive reporting and full transparency. Every check, breach, and resolution is logged for complete traceability, ensuring you re always inspection-ready.
Flexible Support Model
Activate or deactivate our managed services according to your needs. Benefit from our expertise in operating the system for clients on a daily basis.
What Our Clients Say
Funds-Axis has transformed how we manage global shareholder disclosures. With automated monitoring across 80+ jurisdictions and pre-coded rule libraries, we ve significantly reduced manual effort and compliance risk.
Global Depositary
Shareholder Disclosures
The automation of our fund document production has been a game-changer. From KIIDs to PRIIPs and regulatory templates, Funds-Axis delivers accurate, auditable outputs fast, scalable, and fully aligned with our compliance needs.
Wealth Manager
Fund Document Solutions
Funds-Axis has been a trusted partner since we launched our first fund. Their Galaxy platform is central to our investment, risk, and liquidity oversight. It s intuitive, flexible, and backed by a responsive team that truly understands our business.
Fund Manager
Investment Compliance Monitoring
Managing multiple funds across jurisdictions is complex, but Funds-Axis makes it seamless. Their compliance module overlays UCITS rules with tailored Prospectus logic, delivering reliable reporting and exception management through an easy-to-use portal.
Alternative Investment Fund Manager
Investment Compliance Monitoring
Funds-Axis helps us consolidate data from various custodians and administrators into a single, coherent view. Their Galaxy module streamlines oversight and ensures our reporting is accurate, timely, and consistent.
Asset Manager
NAV Oversight
We rely on Funds-Axis for clear, client-ready reporting and exception tracking. Their platform simplifies our workflows and enhances transparency, helping us deliver a premium service to our clients.
Wealth Manager
Investment Compliance Monitoring
Liquidity oversight is critical for our portfolios, and Funds-Axis delivers. Their Galaxy Liquidity module provides ongoing insights and stress testing tools that help us meet regulatory expectations and internal thresholds with confidence.
Hedge Fund
Liquidity Risk Monitoring
Investment Compliance Monitoring Insights News
Stay informed with expert updates, regulatory analysis, and best practices.
See Compliance Monitoring In Action
Book a personalised demo to experience how Funds-Axis can automate compliance monitoring, streamline reporting, and give you ongoing oversight across jurisdictions.
Our team will walk you through the platform, answer your questions, and show exactly how we can adapt to your firm s needs.
Let s Take the Stress Out of Compliance
Take control with automated rule monitoring, ongoing insights, and audit-ready reporting, built for global regulatory demands.
