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Rules Manager Datasheet
Rules Manager
Make Compliance an Asset
Advent’s Rules Manager, a comprehensive solution for trading compliance and portfolio monitoring, turns your manual policies and procedures into automated processes. Its major functionalities help you protect your firm’s reputation, ensuring and demonstrating that you meet regulatory demands, honor client commitments and adhere to your stated policies.
Integrated with Advent’s Moxy®, Rules Manager allows you to implement the proactive controls demanded by the SEC, manage your client’s complex restrictions and takes compliance to a new level.

Manage Complex Investment Environments

Using Rules Manager, you can easily and accurately define your trading and portfolio policies to automate control and review processes. This allows you to more efficiently control diverse requirements from clients and regulators while reducing risk.


Key features and benefits:

  • Rule Coverage: enables you to create rules in order to automate compliance with your investment policies and criteria.
  • Portfolio Holding checks: automatically monitor changes in the market in order to determine whether your portfolio has been affected.
  • Proative rule checking: Know when a future trade falls outside guidelines before you make it. Check for breaches in client mandates or industry regulations and prevent violations from occurring.
  • Compliance reviews: Rules Manager gives you the opportunity to report on past and present issues and assure your firm is in compliance, after tracking when rules are created and changed.
  • Rules Management: Advent Rules Manager provides you with the opportunity to see when and who applied specific rules, identify issues and make adjustments when necessary.
  • Workflow optimization: Rules Manager enables you to optimize trading workflow with comprehensive pre- and post-trade checking.
  • Complying with the SEC:
    • Easily prepare for SEC examinations and accommodate complex restrictions by replacing manual efforts with automated processes.
    • Protect the firm’s standing and reputation through successful SEC examinations.
    • Maintain comprehensive records and controls for rules and version history.
    • Support key fundamentals of industry policies.
    • Keep records automatically, with flexible and easy reporting that reduces time and expense of operational resources.
    • Improve workflow efficiency.
    • Demonstrate a culture of compliance through the use of a reliable, consistent and accurate solution.
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