Compliance

Black Mountain’s Compliance Solution is designed to manage a broad range of compliance processes.

Features

  • Reports real-time capacities across each fund for every asset and rule, pre- and post- trading
  • Validates real-time compliance results instantaneously across all funds and provides automatic breach notifications
  • Provides cross-portfolio hypothetical trade capability, historical compliance analysis, model portfolios, and side-by-side comparison of scenarios
  • Offers extensive test library including all industry standard tests for CLO, CLO 2.0, 40 Act, and Muni fund types
  • Utilizes rules engine that can handle any rule type, regardless of complexity
  • Offers restriction capabilities for trades, issuers, assets, and counterparties
  • Provides fully audited results with compliance breach and cure management workflows
  • Offers automated and customizable summary and detail reports and dashboards
  • Schedules compliance trend reporting
  • Offers web and mobile capabilities
  • Allows users to stand up their own funds and make test revisions/additions independently
Available for CLO/Loan Managers, Private Debt Managers, Commercial Bankers, Fixed Income Managers, Alternative Asset Managers, Investment Advisors and Fund of Funds Managers.

Key Benefits

We enable compliance professionals to manage all aspects of compliance, including trading, fund and regulatory compliance.

Compliance Management

  • Configurable fund compliance rules such as collateral quality and coverage tests
  • Configurable trade compliance rules such as best execution and inter-portfolio trading limitations
  • Restricted list management and enforcement
  • Available for any fund type including CLO and CLO 2.0, 40 Act, SMAs, and Muni Funds

Transparency

  • View all compliance results across all funds in real-time
  • See audit trail for all changes made to data/rules and by whom
  • Receive automated alerts when key metrics change
  • View compliance results at any stage of the trade life cycle and end-of-day

Reporting Capabilities

  • Monitor trading capacities for all tradable investments based on all compliance rules
  • Utilize hypothetical trades, baskets, and scenario analysis
  • View real-time and historical compliance results
  • Generate automated reports based on configured rules

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CASE STUDY:

“Black Mountain’s solution provides a window on holdings across the entire $142 billion portfolio and will prove to be instrumental in improving our ability to make decisions and invest with the most accurate data at our fingertips.”

- Paul Thompson, COO, Barings

“While our PMR quarterly report is done in the same way as before we got Black Mountain’s solution, we save inordinate amounts of time when generating portfolio-wide reports because they are now automated. We have more controls around the accuracy of our data. What took hours and hours to complete before now takes very little time.”

- Brian Forde, Vice President, Newstar Financial, INC.

Wasmer, Schroeder & Company used Black Mountain’s solutions to achieve efficiency gains of 80% for its administrative team and 20% for its portfolio managers and traders.

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