DIAMOS InvestmentCompliance

Intelligent & reliable investment compliance

DIAMOS InvestmentCompliance is the software solution for automated, secure and audit-proof compliance processes.

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 that replaces time-consuming manual tasks and error-prone (Excel-based) “workarounds”.

Leading financial institutions such as investment companies, management companies (ManCos), asset managers, banks, depositories / custodians rely on DIAMOS InvestmentCompliance to optimize their investment compliance tasks through targeted automated procedures.

  • 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
  • DIAMOS InvestmentCompliance is based on our DIAMOS system platform that provides a flexible architecture with highly configurable interfaces. It allows efficient system integration and functional scalability according to your individual needs. At any time you can use the comprehensive basic functionalities of the platform such as multi-lingual / multi-currency capabilities and 24/7 system availability.
  • Seamless connectivity to all standard (fund accounting) systems
  • Providing of client approved “ready to use“ standard configuration
  • Future-proof due to the consequent use of established open standards

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

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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.

Free of charge & without obligation

Get to know our solution and contact us for a WebEx-session or a personal presentation. We look forward to designing your customized product and service solution: Your contact to DIAMOS