Overview & Compliance Framework
Investment compliance engine for SunBridge Asset Atrium Manager — pre-trade, post-trade, mandate monitoring, and regulatory reporting.
Scope
This documentation covers the investment compliance capabilities of Asset Atrium Manager (FGS). It applies to all fund structures managed on the platform — UCITS, AIFMD, SEC-registered, and unregulated vehicles. It does not cover AML/KYC or financial crime compliance.
Compliance engine overview
Asset Atrium Manager includes a built-in compliance engine that evaluates investment guidelines at two critical points: pre-trade (before order execution) and post-trade (after settlement and on a scheduled basis). The engine supports rule-based compliance checking against client mandates, fund prospectus limits, and regulatory requirements.
Compliance framework architecture
| Component | Function | Trigger |
|---|---|---|
| Pre-Trade Compliance Engine | Evaluates proposed orders against investment guidelines before execution | Order submission via ATIM |
| Post-Trade Compliance Monitor | Checks portfolio positions against mandates after settlement | Scheduled (daily) + event-driven |
| Mandate Rule Library | Configurable rule definitions (limits, restrictions, eligibility) | Fund onboarding / mandate change |
| Exposure Calculator | Real-time and batch exposure computation (sector, country, currency, issuer) | Position change / pricing update |
| Breach Manager | Breach detection, classification, escalation, and remediation tracking | Compliance rule violation detected |
| Regulatory Report Generator | UCITS, AIFMD, Form PF, MiFID II transaction reporting | Scheduled (periodic) / on-demand |
Supported regulatory frameworks
| Framework | Jurisdiction | Applicability | Status |
|---|---|---|---|
| UCITS (2009/65/EC) | EU | EU-domiciled UCITS funds | Supported |
| AIFMD (2011/61/EU) | EU | Alternative investment funds | Supported |
| MiFID II / MiFIR | EU | Transaction reporting (RTS 25) | Supported |
| SEC / ICA (1940 Act) | US | US registered investment companies | Supported |
| Form PF (SEC) | US | Private fund advisers >$150M AUM | Supported |
| Solvency II (Pillar 3) | EU | Insurance company asset portfolios | Available |
| CPO-PQR (CFTC) | US | Commodity pool operators | Available |
Documentation sections
Pre-Trade Compliance
Order-level compliance checks, hard/soft breaches, override workflows.
Post-Trade Monitoring
Scheduled position checks, passive breach detection, remediation timelines.
Investment Mandates
IPS modeling, rule inheritance, limit types, exception handling.
Exposure & Concentration
Sector, country, currency, issuer limits, lookthrough, stress testing.
Regulatory Reporting
UCITS, AIFMD Annex IV, Form PF, MiFID II RTS 25.
Breach Management
Breach lifecycle, escalation rules, regulator notifications.
Audit Trail
Compliance decision logging, retention, examination readiness.
Getting started
For new fund onboarding, start with Investment Mandates to configure fund-level compliance rules, then review Pre-Trade Compliance for order-level setup.