PRE- AND POST-TRADE INVESTMENT COMPLIANCE
Stay ahead of compliance breaches with configurable compliance checks and audit-ready oversight — from order creation through post-trade monitoring.
CWAN centralizes oversight with comprehensive securities coverage and regulatory rule sets — for faster decision-making and greater peace of mind.
Validate orders against investment restrictions and regulatory rules, directly within pre-trade compliance workflows.
Track exposures and investment guideline adherence automatically across every account, mandate, and rule set.
Surface violations, manage exceptions, and document actions with clear, role-based workflows.
Stay in control with a complete record of compliance activity and generate regulator-ready reports in minutes.
CWAN embeds pre-trade compliance directly into order workflows — helping investment teams avoid errors, prevent violations, and stay within investment guidelines from the start.
Run rule checks as trades are created or staged.
Apply investment and regulatory constraints across accounts, funds, and regions.
Notify users of potential breaches before orders are executed.
Once trades are executed, CWAN automates post-trade monitoring using validated, reconciled data — enabling daily surveillance of portfolio compliance.
Monitor exposures and restrictions using complete, up-to-date positions.
Apply firm-wide, client-specific, and regulatory rules concurrently.
See where, when, and why breaches occurred, down to the security or transaction.
CWAN helps compliance teams act quickly and document every step, with tools that support resolution, oversight, and reporting.
Assign, review, and resolve compliance issues with clear ownership.
Capture notes, actions, and approvals for every exception.
Maintain records to support internal controls, board reviews, and regulatory disclosures.
Michelle Lim Partner and COO, AIIM Investment Management
Stephen McLoughlin Investment Services Manager, Delphi Financial Group
See how CWAN helps you reduce risk, respond faster, and simplify front-to-back compliance oversight.