DIAMOS InvestmentCompliance

Intelligent and reliable investment compliance

Investment Compliance, which involves comprehensive investment restriction monitoring and administration, is a particularly complex and sensitive field within investment business.

Developed by investment industry experts, DIAMOS InvestmentCompliance is a reliable and easy to use solution which replaces time-consuming manual tasks and error-prone (Excel-based) “workarounds”. Leading financial institutions such as investment companies, fund managers, asset managers and custodians rely on DIAMOS InvestmentCompliance to optimize their investment compliance tasks through targeted automated procedures.

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  • Regulatory rule packages based on country-specific jurisdictions for various countries available
  • Implementation of new regulatory guidelines in cooperation with leading audit firms
  • Flexible rules engine for customized configuration of limits and monitoring functionalities
  • Defined limits can be transferred from one environment to another (test, production, backup)
  • Checks can be performed for each order status within an order cycle– from pre-trade to ex-post
  • Pending trades are included for pre-trade checks
  • Reliable limit monitoring with thresholds (traffic-light status) and escalation management
  • Supports "new product process"
  • Audit-proof handling and documentation of breaches
  • Audit-proof storage of all test data and results
  • Intuitive and user-friendly configuration and user guidance
  • Wizard-guided support for limit construction and adjustments
  • Look-through functionalities simplify allocation and monitoring of complex instruments/rules
  • Extensive analysis capabilities
  • Detailed presentation of limit utilizations and breaches
  • Breach resolution management
  • 4-eyes principle functionality
  • 24/7 availability, global system access across all time zones
  • User access rights are granularly definable
  • Direct system access without having to use terminal servers
  • Access to unsettled, pending transactions, stored within the system incl. order status
  • DIAMOS InvestmentCompliance covers the requirements stated in the "DerivateV", the "CSSF Circular  07/308" and others
  • Amounts eligible for inclusion in market risk positionsInterest derivatives and maturities
  • Upcoming amendments can be easily incorporated
  • Direct data supply from all standard portfolio management systems, fund accounting systems and data providers
  • Reports can be individually designed
  • Automated reporting capabilities at definable times and events
  • Central, audit-proof administration
  • Automated sending of reports in different formats such as PDF, XML, CSV, TXT,Word documents, Excel files
  • Efficient implementation, rapid deployment and quick return-on-investment thanks to:
    • Flexibly integratable system architecture
    • Standard configurations, which facilitate initial parameterization
  • Future-proof investment security due to the consequent use of established open standards
  • Individually licensable, scalable as and when required to fit your needs and those of your IT-environment

DIAMOS InvestmentCompliance is based on the DIAMOS system platform, which provides significant benefits that are available as basic functionalities. These include i.e.:

  • State of the art, future-proof system architecture with maximum security standards
  • Transaction-based workflow management with real-time processing
  • Multi-client and multi-lingual capabilities
  • Data management across all products
  • 24/7 availability
  • Enhanced definable user-rights concept
  • Additional benefits...

We provide expert consulting, integration and support services. We also offer comprehensive technical and functional support services enabling you to streamline your operations time and cost effectively through our certified DIAMOS data processing center.

You can optimize your investment compliance processes flexibly through additional functionalities such as:

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We are looking forward to designing your customized product and service solution:
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Case example

DIAMOS InvestmentCompliance at
Bank Austria:

Bank Austria, Austria´s largest bank in terms of market capitalization, uses DIAMOS InvestmentCompliance to administrate Austria´s most prominent real-estate fund. The module is used in conjunction with the integrated fund administration solution DIAMOS-F.