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Risk and Compliance

Basis Point Group partners and associates have significant experience in the specification, design, development and implementation of compliance applications in complex investment environments.

BPG has established in-house compliance management, verification and escalation processes for over ten investment management firms (US $30B to US $450B), implementing third party pre- and post-trade compliance applications when needed. Currently BPG is working on compliance and trading assignments with one of the top US mutual fund companies and the investment management arm of one of Europe's largest insurance companies.

Basis Point Group offers:

Compliance Automation
Our comprehensive understanding of the automation requirements and limitations of 40 Act testing and has led some of the earliest compliance automation implementation projects in the US and the EU. Our partners have experience in the UK, Italy, Luxembourg and Ireland (Dublin).

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Compliance Integration
BPG's successful track record in completing compliance integration projects as part of complex global order generation, order management and cash management initiatives, integrating solutions from multiple vendors and across in-house applications.

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Requirements Specification and Vendor Management
We have a history of success in requirements specification and vendor management, for example, where the development of unique client trading and compliance measurement capabilities was required.

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Compliance Verification
BPG has a strong background in reviewing compliance verification processes with managers and traders as part of broader accounting, performance and operational risk assessment projects.

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Reporting and Internal Data Support
Our ability to minimize the possibility of inaccurate SEC reporting due to internal data inconsistencies and support all Sarbanes-Oxley 404 Compliance initiatives is unmatched.

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We've helped the world's largest institutional investment, money management, fund managers and insurance companies facilitate operational risk and compliance. Learn more...