Position Limit Monitoring – Client Success

Position Limit Monitoring – Client Success

CSS was selected as the strategic partner to help a global Tier 1 investment manager move from a tactical to a strategic approach to compliance. The first step was to improve their manual position limit monitoring process. Additionally, the client’s compliance team worked closely with the operations team to facilitate trading. The operations team was starting a three-year internal API project to get the compliance team more integrated with the front office trading desk. The goal was to make position limit monitoring more seamless and efficient to enable their traders to enter new positions without any risk or regulatory implications.

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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.