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This group consolidates compliance aspects across the following:

107|Foreign exchange 102|Pre-trade/trading 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk 104|Corporate actions 105|Income 106|Tax 154|Voting 155|Class actions 112|Master custody 110|Securities lending 131|Collateral management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 107|Foreign exchange 102|Pre-trade/trading 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk 104|Corporate actions 105|Income 106|Tax 154|Voting 155|Class actions 112|Master custody 110|Securities lending 131|Collateral management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 107|Foreign exchange 102|Pre-trade/trading 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk 104|Corporate actions 105|Income 106|Tax 154|Voting 155|Class actions 112|Master custody 110|Securities lending 131|Collateral management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 107|Foreign exchange 102|Pre-trade/trading 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk 104|Corporate actions 105|Income 106|Tax 154|Voting 155|Class actions 112|Master custody 110|Securities lending 131|Collateral management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 107|Foreign exchange 102|Pre-trade/trading 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk 104|Corporate actions 105|Income 106|Tax 154|Voting 155|Class actions 112|Master custody 110|Securities lending 131|Collateral management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 107|Foreign exchange 102|Pre-trade/trading 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk 104|Corporate actions 105|Income 106|Tax 154|Voting 155|Class actions 112|Master custody 110|Securities lending 131|Collateral management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery 107|Foreign exchange 102|Pre-trade/trading 127|Trade processing 146|Income processing 147|Corporate actions processing 153|IBoR 148|P&L 150|Retail-level custody 151|Insurance investment accounting 121|Depositary/Trustee 114|Fund admin: traditional 120|Transfer agency 132|Fund admin: alternative 130|Investor servicing/TA - alternative 117|Securities clearing 136|Derivatives clearing 101|Safekeeping & Network 103|Settlement 123|Custody risk 104|Corporate actions 105|Income 106|Tax 154|Voting 155|Class actions 112|Master custody 110|Securities lending 131|Collateral management 124|Institutional client reporting 118|Portfolio accounting/valuations 142|Investment performance 108|Liquidity management 134|Compliance monitoring 135|Regulatory reporting 115|Instructions 144|Reporting 126|Service standards 145|Service delivery

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Compliance monitoring

Monitoring positions of each line of stock and reporting by reference to pre-determined compliance criteria.
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BNY Mellon

Risk management monitoring

The depositary must review for appropriateness the risk management procedures of the fund according to the corresponding rules.
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BNY Mellon

Stress testing

The depositary monitors the stress testing carried out by the fund according to the corresponding rules.
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BNY Mellon

Daily check: investment/borrowing

Monitoring a fund's investments and borrowings against its powers and regulatory restrictions, on a daily basis.
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BNY Mellon

Daily monitoring of breaches

Ensuring that all breaches reported to the Depository / Trustee are recorded and followed up with the appropriate party.
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BNY Mellon

Oversight monitoring - site visits

Conducting regular due diligence and oversight visits of fund managers, tranfer agents, fund accountants and custodians to ensure that appropriate procedures are in place and being followed.
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BNY Mellon

Review scheme documentation

Reviewing the documentation of all new funds before launch and upon changes.
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BNY Mellon

Production of scheme documentation

Producing documentation for new funds which can then be submitted to regulators for approval.
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BNY Mellon

Dealing with fund auditors

Dealing with fund auditors as appropriate during the fund lifecycle.
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BNY Mellon

Conducting internal compliance audit

Carrying out audits on all participants in the fund processing / servicing to ensure procedures are in place and followed.
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BNY Mellon

Regulatory & technical guidance

Proactively providing guidance on regulatory issues to all participants in funds processing / servicing.
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BNY Mellon

Regular regulatory updates

Proactively providing updates on regulatory issues, on a regular basis.
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BNY Mellon

Your feedback comments

 
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Your entire response is in strict confidence.
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 Feedback – Your service partners value your frank comments on their year-on-year performance, on what new initiatives have been delivered well and on the specifics of what is causing you a headache or simply where you would appreciate improvement...
BNY Mellon