Investment Guidelines & Risk Monitoring

Fund management companies, investment firms and custodians require regulatory compliance software that automatically monitors regulatory requirements and identifies risks at an early stage. XENTIS by Profidata features a powerful compliance framework that enables the monitoring of investment limits, exposure restrictions and country-specific regulations. With configurable rules, institutions can define their own checks and classify breaches according to their severity. In addition, Profidata provides innovative investment compliance solutions that can be seamlessly integrated into existing processes. Together, these capabilities enable continuous, audit-proof risk and compliance control. This allows fund management companies to verify the regulatory conformity of their portfolios and focus on what matters most – the optimal management of their investments.

Banks and asset managers require regulatory compliance software that reliably integrates ESG criteria into the investment process. XENTIS provides extensive interfaces to ESG data providers as well as flexible reporting functions. ESG scores, exclusion lists and sustainability ratings are accessible within the system, while breaches of ESG guidelines are automatically detected and documented. Profidata offers user-friendly modules for ESG reporting and monitoring, enabling financial institutions to meet regulatory requirements while keeping their clients transparently informed about sustainability objectives. In this way, Profidata delivers a comprehensive software platform that supports sustainable investing across all dimensions – from strategy to regulatory reporting.

The right regulatory compliance software plays a crucial role in automating processes and mitigating risks. XENTIS by Profidata minimises manual intervention through automated workflows in areas such as reconciliation, portfolio rebalancing and reporting. Compliance checks are continuously executed in the background, allowing potential breaches to be detected at an early stage. This not only reduces regulatory risk but also significantly lowers operational costs. Prisma enhances the platform with modern web modules that improve usability and transparency. For banks and asset managers, this translates into less manual effort, higher data quality and tangible cost savings – all while ensuring effective risk reduction.

Regulatory requirements vary significantly from one country to another – whether under FINMA regulations in Switzerland, UCITS, or ELTIF 2.0 in the EU. A modern regulatory compliance software must be capable of mapping this complexity. XENTIS by Profidata is designed precisely for that purpose: with the Country Rulesets Services, country-specific regulations for investment limits as well as risk and compliance checks are continuously maintained and updated. This enables fund management companies, investment firms and custodians to ensure that their portfolios remain compliant at all times. Breaches are automatically identified and classified according to severity. In doing so, Profidata combines deep regulatory expertise with cutting-edge technology – ensuring that financial institutions in Switzerland and across the EU are always on the safe side.