Data Integration
Discussion on integration of your data with ComplyPlus.

 
 

Rules
An overview of the rule library and rule editor.

 
 

Workflow
Discussion of the workflow system. 

 
 

Reporting
An overview of the built-in reports and custom report tools.

 
 

Aggregation Engine
An overview of the built-in summary/aggregation engine.

 
 

Auditing
An overview of the tools which support the audit process.

 
 

Performance
Discussion about performance expectations for ComplyPlus.

 
 

Technology
An overview of the technology used to build ComplyPlus.

 

 

Reporting
ComplyPlus ships with a wide variety of reports to support various aspects of your business.

  • Data Quality Reports
  • Nightly Cycle Reports
  • Trading Activity Report
  • Override Reports
  • Compliance Issue Aging Reports
  • Rule Keyword and Associated Documents Reports
  • Board of Directors Review Reports
  • Summary Reports
  • Aggregation Reports
  • Hierarchy Reports with output to Visio
  • Workflow Reports with output to Visio
  • Audit Reports
  • Holdings Reports
  • Simple Data Reports that show data supplied from external systems
  • Data Overlay Reports
  • Intra-day, end-of-day and historical reports over any time period
  • Filter options including client, time, portfolio, etc.
  • Status Reports that show current threshold values
  • Reports that show where a rule is used
  • Reports that show which rules apply to each client/portfolio, including prior history
  • And many more...

ComplyPlus offers a variety of pre-defined report templates, or permits you to easily create your own.  ComplyPlus ships with a simple report builder for building drill-down or summary reports.  Sample output of a summary report generated by the report builder is shown below.  

Each row shown above holds the results of a single rule being run against a single portfolio.  The row with a green highlight represents a portfolio that is above a warning threshold.  A row with a red highlight represents a portfolio with an alert threshold that triggered a work item in workflow.  The designer of this report specified to include values that are within supplied thresholds (these are the rows in black).  The report was designed to exclude the corresponding detail records ("drill-down" values) used in the calculation.  Notice that the "allocation" funds, which are pure fund-of-funds, show values that are the result of a "look-through" to the underlying portfolios.  This report shows only the current values, but also could have shown historical values from any prior period in history.

As part of the design of the report, the user had complete control over a wide variety of report options including titles, header labels, output columns, etc.  The report builder supplied with ComplyPlus is designed so that non-programmers can use it.  For those reports that cannot be built using our report builder, ComplyPlus ships with complete documentation of its internal database structures, allowing integration with third party reporting software.  A Microsoft Access database, including reports, is provided as a sample showing integration with a third party reporting tool.

ComplyPlus can generate reports in a variety of formats including Rich Text Format (RTF) used by Microsoft Word, Portable Document Format (PDF), Microsoft Excel worksheets, HTML and DHTML for publishing your reports to the internet, TIFF for optical archiving and faxing, and delimited text for spreadsheets and databases.