Thinkfolio supports compliance officers with front-office workflows for rule creation, pre-trade checks, post-trade monitoring, breach management and audit-ready oversight.
Built for asset management compliance teams, Thinkfolio enables users to create, maintain and monitor investment rules through a configurable front-end interface. Compliance officers can define hard limits, soft limits, warning thresholds, escalation paths and exception workflows without relying on code-based rule configuration.
Thinkfolio combines market reference data, pricing, portfolio data and proprietary compliance data with user-defined classifications and custom calculations. Rules can use native analytics, look-through exposure, mandate data and firm-specific definitions to support consistent testing across portfolios, strategies and asset classes.
Pre-trade and post-trade compliance workflows help teams monitor restrictions throughout the trade lifecycle. Users can test proposed trades before execution, review active breaches, drill into underlying data points and capture evidence for overrides, approvals and remediation actions.
Breach management tools support exception prioritisation, assignment, grouping and resolution. Dashboards, drilldowns, notes, timestamps and audit trails help compliance officers understand what failed, why it failed, who reviewed it and how it was resolved.
Configurable front-end rule creation and maintenance, allowing compliance officers to define and update investment rules without coding.
Support for reusable rule templates covering market regulations, fund mandates, client guidelines, house limits and user-defined restrictions.
Market reference data, pricing, portfolio data, proprietary data, user-defined classifications and custom calculations available for compliance testing.
Use Thinkfolio analytics directly within compliance rules to test exposures, sensitivities, concentrations and portfolio measures.
Look-through checks across funds, derivatives, composite instruments and indirect holdings to identify true underlying exposure.
What-if checks for proposed trades, modelled orders and trade lists before orders are approved, routed or executed.
Automated monitoring of portfolios, positions and restrictions after execution to identify breaches and policy exceptions.
Drilldown into underlying holdings, rule inputs, calculation components and associated data points for each breach.
Exception workflows to identify, prioritise, assign, group, investigate, remediate and close breaches.
Support for hard limits, soft limits, warning thresholds, tolerances, override workflows and escalation paths.
Rule testing across liquid assets, OTC securities, derivatives, funds and indirect exposures where configured.
Audit-ready history of rule changes, breach events, approvals, overrides, comments, timestamps and remediation actions.