For Asset ManagersCompliance
Compliance
For asset managers and brokers
The Castine compliance suite delivers transparency, stronger oversight, and more informed decision-making for brokers, asset managers, and research providers, all within one comprehensive framework designed for today's regulatory environment.
The Compliance Wheelhouse is one portal for the work of a compliance office: due diligence on counterparties and vendors, the compliance calendar and the tasks hanging off it, gifts and entertainment, political contributions, trade errors, policies and procedures, employee attestations, and the documents behind each of them, in one encrypted place instead of several systems.
It is built for US requirements and the ones arriving from the EU, MiFID II among them, and runs in any browser, on a tablet or a PC.
What it does
- Telescope, for due diligence
- A repository of thousands of completed due-diligence questionnaires, and a workflow for your own: design a DDQ, collect it or have Castine collect it, get alerts when an answer changes, manage the documents, approve, and score the risk.
- AnswerBase, for the questionnaires you receive
- A catalog of your own approved answers, so a DDQ or RFP response is composed rather than started from scratch, and an encrypted, permissioned data room for the documents you share with clients and prospects.
- Inteli-Task, the compliance calendar
- Every task, ongoing, regulator-requested or one-off, linked to a date and to the policy it serves, with who owns it, what is at risk of slipping, and who can cover.
- Gifts, entertainment and political contributions
- Approvals and cohesive reporting in the same portal.
- Trade errors
- Managed and recorded where the rest of compliance lives.
- Policies and procedures
- Reviews and publication, linked to the tasks they generate.
- Employee attestations
- Outside business interests, licensing and the rest, with alerts.
- Licenses and renewals
- Which third-party services are used, by whom, and the renewal and cancellation windows on each.