Investment Profile & Restrictions Management
Introduction
The platform offers integrated tools for managing Investment Profiles. This functionality enables organizations to establish risk levels, define portfolio restrictions, and ensure that portfolios remain aligned with internal policies and regulatory expectations.
This module is primarily intended for risk managers, compliance officers, and senior stakeholders responsible for investment oversight. By offering daily control mechanisms, rule enforcement, and user-level validation, the platform ensures that risk is not only measurable but actively managed.
What’s Included in the Investment Profile Module?
The Investment Profile module includes:
✅ Investment Profile definitions and configuration
✅ Portfolio-level restrictions and limits
✅ Restriction Alerts and breach notifications
✅ Daily portfolio monitoring
✅ Pre-trade validation and breach blocking
How to Access Investment Profile and Restriction Alerts
Investment Profiles
To view Investment Profiles, users must have the following permissions:
MandateRiskProfileViewMandateRiskProfileViewAll
Restriction Alerts
To access Restriction Alerts, users need:
MandateRiskProfileViewMandateRiskProfileViewAllRestrictionAlertView
Investment Profiles are stored in under the Risks block → tab Investment Profiles
Use + to add a new Investment profile
Option Export will help you to review the list in Excel format
Step-by-Step: Assign a Investment Profile to a Mandate
You must first create a mandate and fill in all required fields.
Open the Mandate Form
Go to the Investment Profile tab
Click on the Investment Profile field
Only one active Investment Profile can be assigned. If no active profiles are available, the list will be empty.
Important: The platform does not automatically check if your custom restrictions conflict with the profile’s built-in ones.
The platform displays a list of active profiles
Select the appropriate profile. Click Edit and review and Add restrictions
Set up the percentage of the instruments that shall fall under the criteria.
Click Save.
Active vs Passive Breaches – Platform Behavior
In risk-managed investment platforms, breaches of portfolio restrictions are categorized as either active or passive. Understanding this distinction is critical for proper control and timely response.
Aspect | Active Breach | Passive Breach |
|---|---|---|
Trigger | Manual action (e.g. order submission) | Platform-detected drift |
Impact | Immediate block | Logged and tracked for review |
Response Time | Instant | Deadline-driven (typically 30 days) |
Platform Role | Preventive | Monitoring and alerting |
Examples | Buying over max % in one stock | Asset appreciates beyond allowed threshold |
Active Limit Breach
Occurs at the time of order submission.
The platform performs real-time validation
If a breach is detected:
The order is blocked
A modal alert informs the user
The user must modify the order to comply
Passive Limit Breach
Occurs after trade execution due to market or position changes.
Monitored daily at 01:00, or manually
If a breach is detected:
platform logs: portfolio, position, restriction, and detection date
A resolution deadline is calculated (current date + 30 days)
Notifications can be set up in the platform and sent to responsible staff
This allows proactive monitoring without interrupting day-to-day operations.
