Asset Managers and Hedge Funds
Asset Manager Toolkit
Large and complex asset managers and hedge funds need to have the flexibility to address research payment and commission management that are evolving daily.
The AM Toolkit is a platform that is ideal for firms to built completely unique solutions on with the ability to change over time.
Components cover every facet needed and can be mixed and matched: votes and reviews, research pricing and agreements, trade unbundling, reporting kiosk, compliance, rate card management, budgeting, interactions, calendaring, document management, etc.
From the firm who has done more systems for Top 50 buy-siders than all other providers combined.
Research Payment System for P&L Funded Research Relationships
Complete management of P&L-based research payments for brokers and independent research providers. Manages all of one’s research providers, the negotiated rates agreed to with each of them, and the payments made for services received. Includes multi-level broker review with optional allocation as required for internal budgeting purposes, consumption data, and trade reporting and reconciliation. Provides an upgrade path to full US based CSA accounting or EU based MiFID II accounting.
Improved Third Party Due Diligence
Improves due diligence of 3rd party research providers and vendors, including license and budget management. Leverages 100’s of pre-stored DDQ answers. Supports regulatory requirements for vendor due diligence and precautions against the misuse of material non-public information (MNPI). Proactively manage the risks associated with the methodologies and policies used by your 3rd party vendors, brokers, research providers and consultants. Supports approval workflow, interviews, research samples, private questions.
Complete Compliance Office Automation and Productivity Management System
Single portal to manage all of the important aspects of running an efficient and productive compliance team. Goes beyond calendaring to include complete delegation management, past due alerts to compliance members and management, regular gifts and entertainment plus specialized political contribution approval and tracking, “intelligent” policies and procedures for documentation and training, errors reporting, and multi-level personal trading approval. Integrates into Castine’s Compliance Telescope for even fuller control of vendor due diligence and approval.