Industry
Investment & Asset Management
Trade approvals, portfolio-guideline exceptions, and mandate changes need governance that keeps pace with markets while preserving fiduciary oversight. The platform supports configured approval and control workflows; it does not provide investment advice.
Typical actions governed
- Trade approval
- Exposure-limit exceptions
- Portfolio-guideline exceptions
- Investment mandate changes
- Committee approval
- Insider-risk indicators
Sector-specific risks
- Exposure-limit exceptions need to stop execution, not just be reported after the fact.
- Portfolio-guideline and mandate changes require committee-level accountability.
- Insider-risk indicators need to be visible to compliance, not just to the desk.
Example preventive rule
A trade beyond approved exposure limits is flagged and execution is stopped pending Investment Committee (Level 3) approval.
Relevant modules
Security, data hosting, and deployment
- SSO and MFA support for every user role
- Segregation of duties enforced at the workflow-engine level
- Append-only, tamper-evident audit trail with configurable retention
- Deployable as shared SaaS, dedicated private cloud, or fully on-premises for data-residency requirements