Course Description

This  course takes you to a deep dive in the Compliance module in Calypso. 

It will start with the required setup that you need in order to use Compliance, and then create rules in Compliance. You will learn how to process the rules and the many ways to view and monitor the violations. Rule definition includes defining limits in compliance. You will also learn how to configure the Credit Exposure analysis and visualize it.

With compliance you will be able to:

  • Monitor adherence to regulation, investment guidelines, risk management guidelines, liquidity risk management, operational risk, market risk, and trader limits
  • Ensure the consistency and reliability of investment decisions across different parts of the system, steps of the investment process and asset classes
  • Comply with rules that determine the permitted instruments and markets by overall holdings Real-time limit control for monitoring and managing investment policies by counterparty, issuer, market, ratings, any available attributes
  • Organize, control, and audit investment mandates and restrictions
  • Manage limit excesses through email alerts and flexible reporting
  • Escalate limits 
  • Control the authorizations with 4-eyes
  • Set actions to warn when you approach a limit or stop a trade execution

The course consists of several modules, including full configuration details, rule and analyses definition, using the UI, monitoring violations, different types of events, how to set limits in compliance, videos and assessment.

Calypso Learning Services

Course curriculum

  • 1

    Introduction to Compliance

    • Compliance : Installation and Architecture

    • Test Your Knowledge
  • 2

    Configuration

    • Compliance: Configuration

    • Compliance : Rules and Rule Groups

    • Rule Group

    • Restrict Rule

    • Max Rule

    • Compliance : Column Formula

    • Compliance : Analyses

    • Test Your Knowledge
  • 3

    Compliance User Interface

    • Tabs, Build Dashboard and Violation Visualisation

    • Visualizing Violations

    • Columns and GRID configuration, Select Rules with advanced filter

    • Rule Configuration ,Importing and Exporting via ST and UI,Audit and Pre-trade

    • Pre-Deal Check

    • On-demand,Admin and Analysis columns

    • On Demand

    • EOD_Batch

    • Resource

    • Test Your Knowledge
  • 4

    Credit Exposure and examples

    • Credit Exposure Analysis

    • Rules Setup for Credit Exposure

    • Rule examples
  • 5

    Alerts Reports Monitoring ST

    • Reports and Violation Monitoring

    • Compliance Analyzer

    • Trade Breach Monitoring, Alerts, Workflow ,Archiving, Importing and Exporting Configuration

    • Test Your Knowledge
  • 6

    Limits and Analyses Examples

    • Limits and Analyses_Examples
  • 7

    Test Your Knowledge

    • Knowledge Check
  • 8

    Appendix

    • Limits and Compliance - Updated