Compliance Area
High RiskInvestment Compliance Execution
Investment compliance requires systematic execution of suitability determinations, disclosure requirements, and fiduciary duties. Canarie helps you execute investment compliance through automated workflows with complete audit trails.
Monitoring Frequency
Per-transaction compliance with quarterly portfolio reviews
Key Controls
The Execution Challenge
Investment Compliance Execution requires ongoing execution of controls, monitoring activities, and documentation. Most institutions struggle with manual tracking, scattered evidence, and last-minute exam scrambles. Controls get missed, attestations are chased, and proof of compliance is pieced together under pressure.
The Canarie Execution Layer
Canarie transforms investment compliance execution from periodic scrambles into continuous execution. Controls are scheduled, evidence is captured automatically, and proof of compliance is always ready.
Automated Scheduling
Controls and monitoring activities are scheduled and assigned automatically.
Evidence Capture
Evidence is captured as work is completed. No manual collection needed.
Always Exam-Ready
Export organized evidence packages whenever examiners arrive.
Frequently Asked Questions
Related Compliance Areas
Automate Your Investment Compliance Execution
See how leading institutions execute compliance with confidence.