Trading Compliance

NorthPoint Trading Compliance features a user-intuitive approach to defining the investment guidelines and regulatory rules that apply to your firm. It offers a robust view into trade compliance activity and runs compliance checks pre-, intra-, and post-trade.



Northpoint trading compliance
  • Compliance checks throughout the lifecycle of the order/trade
  • Pre-packaged rule libraries for standard and ’40 act rules
  • Ability to recreate the trade for compliance investigations
  • Comprehensive reporting on all compliance activity
  • Integrates with portfolio modeling and rebalancing features

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