Those guidelines can include:
- permissible asset or company types
- percentage limitations on asset classes or industries
- country or currency restrictions
- issuer restrictions
- required equity or fixed income characteristics such as quality, maturity, duration, market capitalization, beta etc.
- no tolerance for the presence of prohibited investments
INFORMCompliance is an Internet-based automated monitoring application that allows users to monitor portfolios – or groups of portfolios – for common elements of investment risk. First introduced in 1997, the tool was enhanced in 1999 to offer Internet compliance reporting, including Internet-based report generation and automated email reporting of violations.
« Justices Hear Arguments in HMO Review Case