Compliance & Risk Management

Full compliance through automated workflows, validations and risk analysis

Investment compliance software

Your benefits

With XENTIS, you can automate your investment compliance, supported by pre- and post-trade checks, risk assessments and dynamic rule sets that ensure regulatory alignment. Simulations, integrated monitoring and adaptive limit controls help you minimise risk, prevent breaches and meet both regulatory and internal compliance standards.

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Pre- and post-trade checks

Automated checks ensure that all transactions comply with regulatory requirements and internal investment limits

Rule designer & simulation

Create, simulate and test individual compliance rules with a flexible rule engine

Breach management

Efficient monitoring and processing of rule violations with a documented, workflow-driven review process

Risk analysis & reporting

Comprehensive risk assessment with VaR and exposure analyses for precise risk management

Risk monitoring & controlling

Monitor market risks, liquidity risks and regulatory limit violations with alerts

Model pricing

Reliable valuation of complex financial instruments and risk models with pricing algorithms and analyses

Pre- and post-trade checks

Automated checks ensure that all transactions comply with regulatory requirements and internal investment limits

Rule designer & simulation

Create, simulate and test individual compliance rules with a flexible rule engine

Breach management

Efficient monitoring and processing of rule violations with a documented, workflow-driven review process

Risk analysis & reporting

Comprehensive risk assessment with VaR and exposure analyses for precise risk management

Risk monitoring & controlling

Monitor market risks, liquidity risks and regulatory limit violations with alerts

Model pricing

Reliable valuation of complex financial instruments and risk models with pricing algorithms and analyses

Compliance & Risk Management

Strategic advantages beyond the core

As an investment compliance software, XENTIS automates limit checks across all asset classes and ensures seamless compliance with national and international regulations through pre-configured rule sets for multiple jurisdictions (DE, LU, CH, FL, AT, IE, and more). Automated pre- and post-trade checks, look-through analyses and exposure monitoring enable early detection of potential regulatory breaches.

Rule changes and new compliance requirements can be tested risk-free with ad hoc and retroactive simulations. XENTIS enables detailed analyses to take regulatory requirements into account. The investment compliance software can store value-at-risk (VaR) calculations and perform exposure analyses to provide you with a sound basis for decision-making.

All data changes are documented in an audit trail to ensure complete traceability with our investment compliance software. In addition, XENTIS facilitates the onboarding of new investment compliance requirements and investment guidelines through a structured implementation process. The central risk database enables rapid identification and assessment of market risk, credit risk and ESG risks.

With workflow-driven breach management processes, XENTIS ensures efficient recording, analysis and resolution of rule violations. The investment compliance software monitors exposure and counterparty risks in real time and triggers automatic alerts in the event of imminent limit violations.

XENTIS is a flexibly expandable investment compliance software that enables comprehensive ESG integration – with sustainability-related risk assessments and control mechanisms for ESG-compliant investments. Open interfaces allow integration into existing IT landscapes and enable dynamic adaptation for liquid and illiquid investments.

With its direct connection to regulatory reporting processes, XENTIS ensures that analyses and reports are prepared accurately and submitted to the supervisory authorities on time. Automated data aggregation from various sources enables you to handle risk assessments and regulatory reports efficiently and transparently.

Private cloud or on-premise

Unlocking potential with XENTIS

Compliance & Risk Management

Full compliance through automated workflows, validations and risk analysis

Investment compliance software: Pre- and post-trade checks with reviews, look-through, ESG and breach management for maximum regulatory security

Rule Designer and simulation: Dynamic creation and simulation of compliance rules with customisable limit checks as well as netting and hedging

Risk management, analysis and controlling: Model evaluations, risk analysis with VaR, model pricing and monitoring for liquid and illiquid investments

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ALWAYS INCLUDED

The foundation of every XENTIS solution

Data Platform

Our investment management software provides you with a strong foundation that creates a consistent and audit-proof database for your investment processes

Data management, reconciliation and integration for the centralised management and automatic processing of external market data, internal holdings and regulatory reports

All financial instruments such as equities, bonds, derivatives and structured products are processed – for your liquid and illiquid investments

Alternative investments can be recorded, valued and reported in a structured manner – supplemented by flexible NAV calculations and commitment tracking

EXPERT INSIGHTS

FAQs

XENTIS is ideally suited to asset managers, banks, insurers and pension funds facing complex regulatory requirements. The investment compliance software supports organisations with stringent investment compliance needs, enabling them to integrate limit checks, exposure monitoring and automated risk analysis into their processes. With flexible rule sets and adaptable workflows, XENTIS can be tailored to specific business models and regulatory environments.

XENTIS automates pre- and post-trade checks with limit checks and exposure monitoring. Dynamic compliance rule sets for different jurisdictions ensure that regulatory requirements are checked in real time and violations are detected early on. Limit checks take complex investment guidelines into account and allow individual parameterisation in accordance with local and international regulations. In addition, the integrated audit trail functionality ensures audit-proof documentation of all check processes.

XENTIS accelerates your compliance processes with automated workflows for breach handling. The investment compliance software integrates rule designers and simulation tools to identify, document and manage breaches in an audit-proof manner. Every rule violation is recorded in a structured escalation process that enables rapid processing. XENTIS also offers dynamic adjustment of limits and risk thresholds to respond to new market conditions or regulatory changes.

XENTIS automates the creation of investment compliance reports, ESG analyses and regulatory exposure reports. Open interfaces and API connections allow the solution to be seamlessly integrated into existing systems to provide regulatory reports on time. The investment compliance software offers customisable reporting templates for various regulatory authorities and enables automatic report generation.