Buyside Fintech

Directory · Front office and trading

Pre-trade compliance

40 products carry this category. Categories are tags, so several of these also appear elsewhere.

Pre-trade compliance products

40 PRODUCTS

Allvue Investment Compliance ManagementAllvue SystemsCompliance across hypothetical, pre-trade, allocation and post-trade stages for private debt and CLO managers, covering CLO, 40 Act, UCITS and BDC tests.Pre-trade compliance Portfolio monitoring Regulatory reporting AQMetrics Investment ComplianceAQMetricsAutomated monitoring of portfolios against internal controls, risk limits and client mandates; the vendor emphasises continuous post-trade oversight rather than pre-trade screening.Pre-trade compliance Regulatory reporting Risk analytics LiminaArcesiumCloud-native portfolio and order management system with a live-extract IBOR, now the front-office layer of Arcesium's front-to-back platform.Combined OMS/PMS platforms Order management Pre-trade compliance+3Limina IMSArcesiumCloud-native portfolio and order management that runs compliance checks at order creation with breach approval workflows; Limina became part of Arcesium in February 2026.Pre-trade compliance Combined OMS/PMS platforms Order management+3Aladdin (compliance)BlackRockAladdin carries a compliance framework with pre- and post-trade checks, complex rule definition, monitoring and audit trails; blackrock.com blocked direct fetching so this is from a competitor comparison page.Pre-trade compliance Bloomberg AIMBloombergBuy-side order and portfolio management suite built around the Bloomberg terminal data and analytics stack.Combined OMS/PMS platforms Order management Pre-trade compliance+1Bloomberg AIM (Asset & Investment Manager)BloombergBuy-side order management covering order generation, trading, compliance and post-trade, tied to the Bloomberg terminal.Order management Combined OMS/PMS platforms Execution management+1Broadridge Trade Order ManagementBroadridge Financial SolutionsMulti-asset order management that the vendor positions as spanning both public and private strategies.Order management Combined OMS/PMS platforms Portfolio monitoring+3Charles River Compliance and RegulatoryCharles River DevelopmentRules-based compliance module inside Charles River IMS that tests trades pre-trade and monitors mandates through the investment lifecycle.Pre-trade compliance Order management Combined OMS/PMS platforms Charles River IMS (Charles River Trader OEMS)Charles River DevelopmentMulti-asset order and execution management inside a front-office investment platform; the vendor says about 300 investment managers in 30 countries trade on it.Order management Combined OMS/PMS platforms Execution management+2Charles River Trader (OEMS)Charles River DevelopmentCombined order and execution management across equities, fixed income, FX and OTC derivatives, with broker wheel and TCA.Execution management Order management Combined OMS/PMS platforms+1Charles River Trader managed FIX networkCharles River DevelopmentThe trading module of the Charles River platform includes a fully managed FIX network connecting buy-side desks directly to broker-dealers, algos and dark pools.FIX connectivity Order management Execution management+1Enfusion by ClearwaterClearwater AnalyticsUnified cloud PMS and OEMS for portfolio construction, execution and trade processing; enfusion.com now redirects to cwan.com after the acquisition.Combined OMS/PMS platforms Order management Execution management+3EveryskEverysk TechnologiesMulti-asset portfolio analytics and workflow automation with real-time breach alerts and limit monitoring for funds and family offices.Risk analytics Pre-trade compliance Portfolio monitoring LBX PMSFactSetCloud OMS, EMS and portfolio management suite for hedge funds and asset managers, sold with a managed FIX network; LiquidityBook is now a FactSet company.Combined OMS/PMS platforms Order management Execution management+2FIS Pre-Trade Compliance (formerly Droit)FISAPI-first pre-trade eligibility decisioning bought by FIS from Droit; aggregates KYC, documentation, credit line and sanctions checks into a ready-to-trade decision.Pre-trade compliance Regulatory reporting FIX connectivity FundApps Investment MonitoringFundAppsManaged cloud rules service covering investment monitoring, position limits, UCITS and AIFMD limits and shareholding disclosure, with over 850 pre-coded rules maintained by in-house lawyers.Pre-trade compliance Regulatory reporting Galaxy Investment Compliance MonitoringFunds-AxisRule-checking and exception monitoring against regulatory limits, prospectus limits and investment mandates, with over 2,000 pre-built rules; the vendor describes it as post-trade restriction monitoring.Pre-trade compliance Regulatory reporting Risk analytics Gyre HubGyre ResearchPortfolio analytics platform covering portfolio management and construction, back testing, performance, risk, compliance, reconciliation, portfolio accounting, ESG and tax.Portfolio accounting Performance and attribution Risk analytics+5HedgeGuard COREHedgeGuardPortfolio and order management for emerging hedge funds, mid-sized managers, crypto funds and family offices, with portfolio compliance management in the OMS and risk module.Pre-trade compliance Combined OMS/PMS platforms Order management IMTCIMTCFixed income portfolio management platform whose order management module is a trade blotter connected to ECNs, dealers and third-party OMS and EMS platforms.Order management Combined OMS/PMS platforms Pre-trade compliance+1PerformInvestortoolsFixed income portfolio management with compliance rules natively wired into trading, so recommended trades are screened before they are placed.Pre-trade compliance Combined OMS/PMS platforms Order management LatentZero Compliance SaaSION GroupThe compliance product in ION's LatentZero asset management suite, sold alongside LatentZero OMS and EMS; the vendor page gives little functional detail.Pre-trade compliance Order management LatentZero OMSION GroupHigh-volume buy-side order management, sold with a companion LatentZero EMS workstation onto the Fidessa broker network.Order management Execution management Pre-trade compliance+1Limina IMSLiminaCloud-native investment management system whose order management sits alongside portfolio management, compliance and operations; Arcesium announced the acquisition on 2 February 2026.Order management Combined OMS/PMS platforms Pre-trade compliance+1Linedata ComplianceLinedataPre- and post-trade compliance monitoring with custom rule creation, exception management and AIFMD/UCITS coverage; the vendor claims over 70 firms use it.Pre-trade compliance Regulatory reporting Linedata Longview OMSLinedataMulti-asset trade order management for asset and wealth managers, with access to more than 700 liquidity destinations.Order management Combined OMS/PMS platforms Pre-trade compliance AlphaDeskLSEGCloud-based, multi-asset OMS and portfolio management system aimed at hedge funds and smaller buy-side desks.Order management Combined OMS/PMS platforms Pre-trade compliance TORALSEGMulti-asset OEMS for institutional execution workflows, sold alongside and integrated with AlphaDesk.Order management Execution management Transaction cost analysis+2Nirvana ONENirvana SolutionsIntegrated trading, portfolio management, accounting and analytics on one codebase for hedge funds, asset managers and family offices.Combined OMS/PMS platforms Order management Execution management+4Quod Financial OMSQuod FinancialMulti-asset order management with configurable pre-trade risk and compliance, sold to both asset managers and brokers.Order management Execution management Pre-trade compliance RidgelineRidgelineCloud platform with order management, electronic trading, compliance, accounting and client reporting in one system; recently rebranded from ridgelineapps.com to ridgeline.ai.Order management Combined OMS/PMS platforms Portfolio accounting+7Ridgeline ComplianceRidgelineCloud-native investment platform whose compliance module enforces investment guidelines with automated pre- and post-trade checks, alerts and reviews.Pre-trade compliance Combined OMS/PMS platforms Order management+1thinkFolioS&P GlobalNamed repeatedly as a mainstream investment compliance and order management platform; the old IHS Markit product URL redirects to spglobal.com, which blocked fetching, so no capability detail was confirmed.Pre-trade compliance Combined OMS/PMS platforms Order management SimCorp One (trading and compliance)SimCorpValidates every order in real time against regulatory and internal mandates using live IBOR positions before execution.Pre-trade compliance Combined OMS/PMS platforms Order management+1Eze EclipseSS&C TechnologiesDescribed by SS&C as a cloud-native, front-to-back hedge fund investment system.Combined OMS/PMS platforms Order management Execution management+2Eze OEMSSS&C TechnologiesOrder and execution management with a rules engine and templates for lifecycle compliance checks plus full trade and compliance audit history.Pre-trade compliance Order management Execution management Eze OEMS (Eze OMS and Eze EMS)SS&C TechnologiesCombined order and execution management for hedge funds and asset managers, including order generation, allocation and automated short-sale locates.Order management Execution management Combined OMS/PMS platforms+1Charles River IMSState StreetSingle platform covering portfolio management, order and execution management, compliance, post-trade operations and investment accounting; the core technology of State Street Alpha.Combined OMS/PMS platforms Order management Execution management+4Charles River Portfolio Management and Risk AnalyticsState StreetRisk analytics built into the Charles River front-office platform, now sold as part of State Street Alpha.Risk analytics Combined OMS/PMS platforms Order management+1

Filter the full directory by this category