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Risk & Compliance

SS&C has developed a suite of offerings to help with risk, regulations and compliance that provides fast, sophisticated insights and reports so firms can seize a competitive advantage.

Satisfy Investor Demand and Regulatory Requirements


SS&C’s risk and compliance solutions and services streamline the process and allow staff to be more productive.

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Whitepaper

The Importance of Enabling an Employee Trade Monitoring Program

High ethical standards are key to healthy client relationships. Know the importance of enabling an employee trade monitoring program.

Brochure

Blue Sky Administration: Understanding Regulation D

Blue Sky laws can be a bit of a double-edged sword for hedge and private funds. Learn how SS&C can help you stay Blue Sky compliant.

Whitepaper

Gaining Clarity on ESG

Managing investor expectations and navigating compliance Environmental, Social and Governance (ESG) practices have been around since the 1970s, evolving rapidly alongside globalization.

Risk & Compliance Solutions from SS&C

Risk and Analytics SS&C Algorithmics provides a range of award-winning solutions to address market risk, credit risk, asset-liability management, liquidity risk, economic capital and regulatory capital.

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Regulatory Compliance The Risk & Compliance Intelligence Platform (RCI) provides accurate, detailed surveillance and analysis of all transactions, orders, activity and investor account holdings and is depended upon by Investment Advisors, Hybrids and Broker-Dealers to provide consistency in oversight and evidence supervision. RCI’s surveillance capability is powered by an extensive library of pre-configured and customizable compliance tests based on FINRA, SEC, IIROC, Bank Secrecy Act and world-wide AML regulations.

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Regulatory Reporting Take advantage of our automated tools and a team of experts to reduce regulatory risk, conserve staff resources and deliver accurate, timely and compliant reports, including US SEC Form PF, FATCA, AIFMD, EMIR, MIFID and more.


Blue Sky Administration A comprehensive, full-service program that delivers state Blue Sky filings, daily sales monitoring, exemption processing and secure, online client reporting.

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