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Investment Monitoring

Monitor internal compliance and risk rules, directly within the FundApps platform 

The FundApps Investment Monitoring service allows compliance and risk teams to monitor internal, customisable rules inside the FundApps platform. Using the same datasets that are already being sent to FundApps, the Investment Monitoring service simplifies maintenance and monitoring of internal compliance and risk checks.

Internal risk controls, at your fingertips

The Investment Monitoring package is powered by FundApps’s param.rules functionality, and the package therefore contain rule templates that users can parameterize as they like. The templates included in the package are: 

  • Exposure: TSO - Sector/Issuer
  • Exposure: TSO - Country/Issuer
  • Exposure: TSO - Issuer
  • Exposure: NAV - Asset Class
  • Exposure: NAV - Currency
  • Exposure: NAV - Country

The Position Limits solution monitors derivatives limits imposed by exchanges and regulators across the globe. The diagram explains that.

 

FundApps' Investment Restrictions service  provides clients with templates for...

 

 

Country Exposure

For a given country, the client can set the % of portfolio exposure they wish to be alerted to if they are coming close to, or exceeding.

Asset Class Exposure 

For a given asset class set the % of portfolio exposure you wish to be alerted to if you are coming close or exceeding.

Issuer - Total Shares Outstanding

For a given issuer, the client can set a limit based on the % of Total Shares Outstanding they wish to be alerted to if total economic exposure is close to or exceeding.

Currency Exposure

For a given currency, the client can set the % of portfolio exposure they wish to be alerted to if they are coming close or exceeding.

Your rules, captured automatically. 

View and amend parameters as you see fit, with rule application at both the portfolio and entity levels.

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Our Blogs

Why 'data-only' Shareholding Disclosure fails the defensibility test
Shareholding Disclosure
5 mins

Why 'data-only' Shareholding Disclosure fails the defensibility test

A data-only approach leaves shareholding disclosure exposed to defensibility gaps. Here’s why data alone won’t stand up to scrutiny.

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Converging compliance: Why sanctions and Reverse CFIUS monitoring work better together
Sanctions
4 mins

Converging compliance: Why sanctions and Reverse CFIUS monitoring work better together

How sanctions and outbound investment rules converge, why unified monitoring matters, and how FundApps helps firms manage risk across portfolios globally.

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How a ‘data-only’ approach compromises shareholding disclosure from the start
Shareholding Disclosure
4 mins

How a ‘data-only’ approach compromises shareholding disclosure from the start

Shareholding disclosure compliance needs more than data feeds. Learn how jurisdiction rules, instruments, and workflows shape accurate, scalable monitoring.

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SEC examination priorities: What they mean for Schedule 13D and 13G compliance
SEC Changes
4 mins

SEC examination priorities: What they mean for Schedule 13D and 13G compliance

The SEC’s examination priorities are putting new pressure on 13D and 13G compliance. This year's key enforcement and disclosure risks for compliance teams.

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Sanctions Lists: Necessary, but not enough
Sanctions
3 mins

Sanctions Lists: Necessary, but not enough

Sanctions lists are only the start. Learn how timely data, automation, and execution help firms reduce sanctions risk and respond to regulatory change faster.

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The 50 Percent Rule: When one rule becomes many
Sanctions
3 mins

The 50 Percent Rule: When one rule becomes many

How the 50 percent rule exposes where sanctions monitoring breaks down, from manual aggregation and static data to jurisdictional blind spots.

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