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Clearwater Analytics Expands Investment Compliance Monitoring

Clearwater Analytics, a recognized leader in transparent, outsourced, web-based, investment portfolio reporting and analytics for both separately managed and commingled accounts, has deployed a series of significant enhancements to its Compliance reporting module.

New Functionality at a Glance:

• The ability to create multiple Compliance policies which can be applied across accounts,

• Significant new flexibility and efficiency in rule creation and modification,

• New reports to view Compliance violations by date and rule,

• Improved compliance violation notification options.

Clearwater’s new functionality gives investors and asset managers alike improved compliance monitoring including the ability to monitor individual or aggregate investment portfolios against multiple investment policies. Most institutional investors and investment managers have “hard” compliance rules in the form of investment policies established and approved by company boards or investment committees. Clearwater has always provided this vital ability to monitor compliance with a single set of rules. The new functionality provides the ability to create and monitor multiple flexible or “soft” compliance overlays for individual and aggregate accounts. In addition with the new release both hard and soft rules can be created, modified and deployed far more efficiently and monitored more effectively by rule or by date. Additional features within the upgraded Compliance module include the ability to track dated violations throughout each account′s history down to the cusip level, as well as the option to receive additional detail regarding their account's compliance status through enhanced email notifications.

Courty Gates, Clearwater Analytics CEO, says the upgrade represents a significant step forward in providing timely, accurate compliance feedback for institutional investors and investment managers. Said Gates, “Integrated accounting, compliance, risk and performance are at the core of Clearwater’s software and service platform. This software release represents a major enhancement in the functionality of one of the four key modules in our reporting and analytics platform.”

Scott Erickson, Clearwater Analytics Director of Operations, said, “These Compliance upgrades demonstrate our commitment to transparency with regard to compliance status for investors and investment managers. Compliance policies draw a bright line around risk. By efficiently notifying stakeholders of their risk exposure based on their compliance parameters, Clearwater is able to provide critical, actionable information to our clients daily.”