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Sanctions Monitoring

Global sanctions monitoring through automated checks, instant alerts, and complete coverage of critical lists.

Our Sanctions Monitoring helps teams stay ahead of risk, effortlessly and automatically.

Navigating global sanctions has quickly become a business-critical responsibility of investment managers everywhere.

Compliance teams are tasked with screening portfolios and potential investments against changing lists of sanctions in order to avoid legal, financial, and reputational consequences.

A single sanctioned entity has the potential to trigger asset freezes and result in fines and regulatory scrutiny, putting client capital and performance at risk.

And against a backdrop of growing geopolitical tensions, staying compliant is a growing burden. Governments frequently update sanctions lists like the US OFAC-SDN, EU Consolidated Sanctions, UK Sanctions, UN Security Sanctions and more, resulting in an error-prone and time consuming process.

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How it works

FundApps’ Sanctions Monitoring is designed to take the uncertainty and inefficiency out of sanctions compliance through multiple checks designed to maximise coverage.

Using data provided by BIGTXN, all positions are automatically screened for connections to sanctioned entities upon each positions file upload. Any potential issue is flagged and teams notified, prompting action before it becomes problematic. The system continuously monitors major sanctions lists, immediately alerting users should an existing position fall into scope when a list changes, eliminating the need for manual tracking across all portfolios.

Additionally, Sanctions Monitoring clients can also perform pre-trade checks on individual securities using ISINs, providing clarity and avoiding potential issues altogether.

Currently, the following sanctions regimes are covered:

Australia - Australia DFAT (Department of Foreign Affairs and Trade) Sanctions List
Canada - Canada Consolidated Sanctions List
Switzerland - Swiss SECO (State Secretariat for Economic Affairs) Sanctions List
European Union - EU Consolidated Sanctions List
Hong Kong - Commerce and Economic Development Bureau Sanctions List
Japan - Japan METI (Ministry of Economy, Trade and Industry) Sanctions List
Singapore - Monetary Authority of Singapore Sanctions List
United Kingdom - UK Sanctions List (OFSI - Office of Financial Sanctions Implementation)
United Nations - UN Security Council Sanctions List
United States of America - OFAC (Office of Foreign Assets Control) - SDN List (U.S.)

Sanctions screening automation with FundApps Sanctions Monitoring solution. Background of purple dots in a wave pattern behind a white number 1.

Daily
monitoring

Daily automated checks and continuously updated sanctions lists. Plus, on demand checks using security ISINs.

Exhaustive coverage

Screen against ten key global sanctions lists, powered by data from BIGTXN, a leading third-party sanctions data provider.

Audit-ready oversight

Maintain a full, searchable book of record of screenings, decisions, and actions for regulatory review, directly within the platform.

Actionable notifications

Timely alerts and clear explanations for flagged entities across all portfolios. Monitor all holdings and investments in a centralised location.

In a nutshell...

FundApps' Sanctions Monitoring service gives compliance teams the visibility and coverage needed to remain compliant amidst evolving geopolitical tensions and volatility.

With automated screenings, pre-trade capability, and extensive jurisdictional coverage, managers reduce the risk of costly and penal oversights and save time and effort. A complete audit trail detailing how sanctions breaches are handled helps clients avoid penalties should breaches take place.

No manual checks or the constant combing of lists and positions. Just an integrated, centralised solution that provides clarity and automates sanctions monitoring.

At FundApps we ride the extra mile, helping financial service companies with our automated solutions. Man biking under pink blossom trees.

…I can highly recommend their people and solution to any firm, large or small, which deals with shareholding disclosures. At FundApps the team is always ready to go the extra mile to fit your need. More importantly, they will think with you. My experience with them has been nothing but EXCELLENT!

Vik D, Group Compliance Officer

Dutch Insurance Group

FundApps has allowed our organisation to stay on top of time sensitive disclosure requirements, alert us to approaching threshold breaches, accommodate rule changes in jurisdictions across the globe and provide audit trails on historical disclosures...

Kai Chu, Senior Compliance Analyst

Ontario Teachers’ Pension Plan, Canada

FundApps has simplified the complexities of shareholding disclosure regulations into one intuitive, easy to use platform and provides continued support from both their customer success team and content team when required.

Charlotte Sneddon, Risk Information & Reporting Manager

Quilter, United Kingdom

...With the help of FundApps, we can commit to delivering high-quality investment outcomes to our clients. We're excited about joining FundApps’ compliance community and we look forward to working together.

Dirk Kaltschnee, Compliance Officer

Deka, Germany

FundApps’ Shareholding Disclosure service provides an intuitive and transparent solution to the ever-changing regulatory requirements we face. It will enhance our confidence in the filings we make, the integrity of the data used and the auditability of our shareholding disclosure reporting.

Manoj Chopra, Head of Risk Services

Vontobel, Switzerland

The combination of the Rule Commentary functionality, the explanation from FundApps and the detail provided about the rules from aosphere provides our business with a reliable solution that we can continue to use as our business grows.

Ben Battye, Chief Operations Officer

BennBridge, United Kingdom

Blue waves on a sandy beach. Relax with FundApps, as we help investment management firms to find solutions to make disclosure processes seamless.

...Using FundApps Filing Manager, my disclosures are ready to be submitted directly to the regulator at the simple click of a button. Once completed, I can view the filing status in one place with an entire audit trail, eliminating the need to cross-check various sources and validate the information submitted, making the entire disclosure process seamless.

Lynne Marchetti, Compliance Specialist

WCM Investment Management, United States

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Leave the screening to us

Chat with FundApps on what Sanctions Monitoring might look like for your team.

Speak to us now

Sanctions Monitoring

Global sanctions monitoring through automated checks, instant alerts, and complete coverage of critical lists.

Our Sanctions Monitoring helps teams stay ahead of risk, effortlessly and automatically.

How it works