Post Trade Risk Mitigation, Governance & Compliance

Post Trade Risk Mitigation, Governance & Compliance

Post trade risk mitigation – Clients can benefit from the functionality that ETHOS AFPTM offers to provide for effective mitigation of post-trade risks. Whether using the web platform for direct transaction input, through Straight Through Processing (STP) connectivity or by transacting with DDCAP through more traditional forms of communication, such as telephone, email or via a third party financial messaging system, clients can be satisfied that both market and operational risks are contained.

The platform delivers trade confirmations and related trade documentation instantaneously and clients are updated on the status of transactions through regular, automated reminders. Throughout each transaction lifecycle, the platform ensures that transaction sequences are undertaken to the client’s own specific order and instruction, both for Shariah adherence purposes and to ensure that all market and operational risks are mitigated to the client’s satisfaction.

Governance – The platform offers full ‘maker/checker’ functionality. Authorised user profiles can be applied to ensure segregation of duties to meet the specific governance protocols of each client. Permissions can be granted on a granular basis, ranging from read-only through to full access, based on each user’s internal compliance preferences.

Compliance – ETHOS AFP™’s asset-based inventory screening is subjected to DDCAP’s own responsible business-based principles as well as the Shariah-focused requirements of DDCAP’s clients and our own Shariah Supervisory Board.

At clients’ direction, ETHOS AFP™’s Shariah-focused asset allocation procedures can be overlaid with requisite, regulatory-driven compliance and governance stipulations, including sanctions-related protocols and responsible investment and financing considerations.