NorthPoint Trading Compliance

NorthPoint Trading Compliance

ACA's NorthPoint Trading Compliance module 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 portfolio and trading compliance


  • Flexible rule building and custom calculation capabilities using the Compliance Rule Wizard
  • Integrates compliance with portfolio modeling and rebalancing features and scenario analysis
  • Reduces allocation process overhead by integrating post-trade compliance into allocation and rebalancing workflows
  • Monitors for portfolio compliance to uncover changes due to market changes and corporate actions
  • Ability to recreate trades and positions for compliance investigations
  • Integrates with ACA’s NorthPoint Investment Management System
  • Seamlessly connects with third-party systems
  • Includes support for concentration limits, eligibility rules, restricted and watch lists, filing thresholds, and warning tolerances
  • Real-time data feeds for real-time calculations on market value, NAV, and exposure
  • Includes pre-packaged rule libraries for standard and ’40 Act rules
  • Customizable breach notification capabilities and resolution workflow
  • Detailed audit trail and capture of calculations at time of compliance run
  • Ability to incorporate clients’ proprietary calculations
  • Look-through to underlying fund holdings
  • Comprehensive reporting on all compliance activity

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