Netik Compliance Monitor is a value-added application that plugs into the Netik InterView™ platform.

Netik Compliance Monitor enables the on-line setup and automatic review of both simple and complex investment guidelines. The investment guidelines may be based upon customer-specific restrictions (e.g., cannot hold cigarette stocks), regulatory statutes (e.g., 1940 Act), internal investment policy, and/or prospectus limitations.

Netik Compliance Monitor fully leverages the information in the Netik InterView™data warehouse and executes the systematic review of an investment portfolio to insure adherence to defined limitations, constraints, or other directives regarding allowable investments and/or permissible investment strategy in the portfolio. Netik Compliance Monitor is thus able to accommodate checks against the two key principles of the ‘compliance’ function; ‘Investment Guidelines’ and ‘Investment Policy Targets’.