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Pre-Trade Compliance

RedBlack fully automates the way our firm manages mutual fund purchase restrictions, fund substitutions, short term redemption periods and other restrictions, even on a ‘per-custodian’ basis. Christopher J. Rogers, CFA. Chief Investment Officer. Jackson Financial.

pre-trade compliance

Restrictions

Use a variety of restrictions to comply with specific client requirements, temporarily prevent the selling of specific positions and rebalance around non-liquid, alternative investments.


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Drift From Model

Monitor current drift from model across accounts and households directly from your dashboard. Receive alerts for projected post-trade drift prior to committing trades.


client-reports

Client Reports

Build value and enrich your meetings with professionally designed and customizable client-facing reports that reflect your house style and includes the data that is important to your firm and your clients.


monitoring sheild

Investment Policy Compliance

Create unlimited Investment Policies based on categories and asset classifications. Validate compliance pre-trade, post-trade and while executing what-if scenarios.


mutual fund purchase restrictions

Mutual Fund Purchase Restrictions

Define rules for managing mutual funds purchase minimums or funds that are closed to investors. Choose from automatic substitution with another fund, rebalancing around the position or receiving alerts.


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Tax Sensitivity

Define location optimization rules to automatically allocate assets to preferred account types in a household based on tax sensitivity. Substitute assets if a buy cannot be made in the preferred account type.


short term redemption fees

Short Term Redemption Fees

Manage short term redemptions fees for mutual funds or ETFs at the custodian and fund level. Choose to automatically rebalance around positions that exceed a fee amount threshold.


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Trade Size and Rounding

Define minimum trade sizes to avoid tiny trades and round trades to preferred lot size or automatically based on a rounding tolerance.