MCM
Mandate Compliance Monitoring
Post-trade compliance monitoring system for debt & equity instruments

Pre-trade
compliance is
great...

At the end of
the day what
counts is...

Post-trade
compliance!

Monitor investment guidelines & authorised investment limits
Make use of many pre-configured investment guidelines
Import any custodian data &
interface to real-time market data

Highlights

Blake Developments’ investment Mandate Compliance Monitoring system MCM is designed for professional fund managers, boutique fund managers, and institutional investment managers and manager-of-managers.

Leading Australian fund managers employ MCM as part of their investment administration, or within their compliance or audit function.

The system is available in the above shown three editions.

Core System Functionality

The system ensures that portfolio guidelines are properly adhered to.

A comprehensive set of guidelines is a standard built-in feature. New guidelines are easily configured on the fly.

Investment rules can be set to warn a manager that a guideline is approaching a breach position.

Enhanced Compliance Monitoring

MCM provides easy access to all menu items including reports.

Each section comprises a number of options that can be restricted to authorised personnel.

The compliance process flags investment guidelines for three categories: Breaches, Warnings and Errors.

Fully Automated Processes

The MCM system is a fully automated, post-trade compliance monitoring system.

Following the installation and configuration of requisite portfolio and guideline details, the day-to-day compliance monitoring process is fully automated and commands a minimum of user intervention.

Benefits

  • Save costs and improve performance by utilizing fully automated routines and automatic summary and breach reporting
  • Minimise losses associated with compliance breaches
  • Add value by conducting the monitoring process & portfolio position reporting on a day-by-day basis
  • Utilize numerous default investment guidelines applicable to various asset classes
  • MCM processing capacity is suitable for “Manager-of-Manager” environment
  • Low cost of ownership
Portfolio Investment Guidelines

Text-based guidelines present easy comprehension and authentication with master document and they are one of the main features in MCM.

Allocate new guidelines to portfolios by simply selecting from a library of more than 100 “unique” guidelines and several hundreds of issuers and issuer categories.

Set-up portfolio specific guidelines/rules by index weights, credit rating, portfolio weight, effective exposure, etc using many combinations of data.

MCM Report Scheduler

The smart report scheduler provides the compliance manager with the option to set a wide range of comprehensive reports. Standard reports among others include:

  • Daily summary of breaches across all portfolios
  •  Details of guidelines that are nearing a breach
  • Low-level detail of all portfolio positions relative to guidelines
  • Warning reports where unexpected custodian or portfolio data is encountered
Automation and Wizard Support

Fully automated centralised file import, data consolidation and compliance monitoring processes.

Data consolidation includes stress testing to evaluate guidelines that monitor “market movements under stress”.

Use the Data Import Wizard to create new custodian file import specifications.

Interface to any accounting system via MCM’s “External Data Import Wizard”. The MCM / IRESS interface retrieves index data from IRESS Market Technologies.