Finance Forum Germany – Bank & IT - Wegbereiter des Wandels
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Compliance Monitoring

Complete Transparency and Control

 

COMPLIANCE MONITORING

KOSMOS SUPPORTS THE COMPLIANCE WITH THE FOLLOWING CONTROL SYSTEM:

  • MONITORING OF INVESTMENT
    GUIDELINES
    • ASSET ALLOCATION BY
      • ASSET CLASS (MULTILEVEL)
      • SECTOR (MULTILEVEL)
      • REGIONS
      • CURRENCIES
      • TIME BUCKETS
      • RATINGS
      • RISK CLASSES
    • RISK FACTORS
      • WEIGHTED RISK FACTORS
    • MAXIMUM DRAW-DOWN
      • YEAR TO DATE
      • HALF YEAR TO DATE
      • QUARTER TO DATE
      • MONTH TO DATE
    • PROXIMITY TO BENCHMARK
    • ISIN BLACKLIST

Investment Policy Monitoring

This offers the automated monitoring of investment policies for asset allocation, the calculation of risk factors, control on maximum draw-downs, proximity of benchmarks and testing against black lists. All entries are made directly by defining rules based on a natural language. The monitoring is done either on an ad hoc or overnight basis both in pre and post trade situations. Violations are displayed in the cockpit and accessible for further processing.


Violation Management

In connection with the Issue Tracker, all violations are kept in a central application, which allows for a web based access for all organizational levels controlled by a defined authorization concept. The violation management can be described as follows:

  • Categorization of violations
  • Free allocation of staff to issues
  • Processing of pre-defined workflows
  • Control by status concept
  • Communication via e-mail
  • Extensive data base for analytical needs

In using these functions, a complete control over the "lifecycle" of the violations that occurred in the company is easy to implement.