Back to all articles

How to Achieve Maximum Headroom for your Sensitive Industries Monitoring

2 mins
Posted on Mar 18 2021 by Carol Cardoso

Our automated Sensitive Industries service now includes our popular Room-In-A-Name (RIAN) feature, enabling users to see how much can be traded before a disclosure has to be filed, or a hard-stop limit has been reached.

When we launched our Sensitive Industries product in mid 2020, we committed to helping our clients ditch their manual error-prone process to monitor industry specific investment restrictions automatically. After all, we’re living in the future! 

From day one, our automated rules were fully up-to-date with the latest industry specific changes and helped to assure clients that they were upholding the regulation to the highest possible standard. This proved timely in a market reeling from the effects of a pandemic and nervous regulators who applied ever more stringent industry specific measures

Having successfully launched the world’s first Sensitive Industries monitoring service, we immediately started planning the next evolution of the service to delight our clients by helping to eliminate additional manual work.

We heard from many about how being aware of the room available for trading is a key element of pre-trade checks and Sensitive Industries, where trading limits are tight and rules complex, pose particular problems for teams already stretched by ever more regulatory demands. 

Compliance teams need to be prepared to answer questions such as “how much more room do we have for trading before filing a disclosure?”; and, “are we about to reach the hard stop limit imposed by the regulators?” put forth by Portfolio Managers and Heads of Desks.

Outdated OMS and generic compliance systems simply are not able to cope with these enquiries and teams rightly regard any answers derived from such technologies with the highest level of suspicion. However, by combining our Sensitive Industries rules package with Room-In-A-Name (a.k.a “RIAN”), one of our most popular product features, FundApps present users with a unique solution up to the job of providing advanced warning of upcoming thresholds. This allowing users to plan trading activity and to stay on the right side of regulators globally. 

RIAN screenshot

Screenshot of the Room-In-A-Name functionality in our automated Sensitive Industries service

With many of the world’s largest asset managers, pension funds, sovereign wealth funds and sell-side institutions using our service daily, isn't it about time you started using the tools that your investors deserve?

Want to find out more?

If you'd like to hear more about how FundApps’ 'Room-In-A-Name' can save time and increase automation in your disclosure monitoring processes, then get in touch!