ION’s Compliance SaaS solution unlocks greater investment transparency, enables real-time oversight of pre-and post-trading, and offers full coverage of asset types and geographies. Most importantly, it delivers an automated compliance checking process.

With increased regulatory change and pressure, and the use of complex asset types as firms enter new markets, compliance monitoring and investment transparency are critical. The Compliance SaaS solution uses a web-based user interface, enabling customers to manage exceptions through a standard workflow, and define and maintain investment rules. All dashboard, reporting, and management information can be shared easily across the business and is demonstrable for clients and prospects.

Moreover, asset managers face the challenge of balancing regulatory compliance with rising IT costs and the demand for real-time pre-trade oversight – principally not having to sacrifice growth for investment in compliance. Being cloud-based, Compliance SaaS involves zero infrastructure headaches and specialist resources are not needed, enabling firms to demonstrate compliance best practice to their clients and prospects.

Steven Strange, Head of Product (Asset Management) at ION Markets, comments: “Investment compliance is fundamental to the asset management process, and any breach can severely compromise both a firm's finances and its reputation. We’re proud to be partnering with several firms to evolve ION’s SaaS cloud service. We’re committed to ensuring the service can scale with business growth."