botminds.aiRequest a demo

Fund Names Rule Compliance demo

Tests each fund name and ESG claim against its 80% policy and holdings, under SEC and ESMA 1:35

Book a demoExplore the solution

What the demo shows

Tests each fund name and ESG claim against its 80% policy and holdings, under SEC and ESMA

The Name check splits a fund's name into its words as large tokens: Sustainable | Emerging Markets | Bond. Under each sits its type, its prospectus definition with the cited page and a meter showing the share of assets that meets it against the 80% line and the firm's 82% buffer. Below, the fund's local-language names are aligned word by word with the English and tested for the same claim. Eight agents do the work: the Term Mapper reads the definitions, the Holdings Tester tests every night and before every order, the Check agent recomputes independently, the Issuer Evidence agent reads issuers' own reports in their language, the Cure Planner runs the 90-day clock and proposes cited trades, the EU Names agent applies ESMA exclusions, the Language agent checks local names and the Records & Filing agent builds N-PORT items and the board report. The analyst approves each test, the portfolio manager decides each trade, compliance releases the orders and the Fund CCO signs every exception.

Transcript

  1. Fund Names Rule Compliance Tests each word of a fund's name against its holdings for compliance teams.
  2. A fund below its 80% policy has 90 days to cure.
  3. Three downgrades cut, sustainable, to 77.4%.
  4. Day 12 of 90.
  5. The evidence agent read each issuer's own report, Spanish, Turkish, Indonesian.
  6. Where sources disagree, the analysts decide, with a reason.
  7. The cure planner proposes six sided trades, checking every limit.
  8. The portfolio manager accepts four, each with its effect shown.
  9. She declines two with reasons.
  10. The meter returns to 80.6.
  11. Compliance checks her decisions and releases seven orders.
  12. The manager cannot. The French and German names pass the same test.
  13. The CCO signs the exception, cited, signed, and logged.
  14. The result? All 326 terms tested nightly and a cure plan on day one.
  15. Built on Botminds: agents, data, screens, and governance on one platform.

Transcribed from the film’s narration. Captions are on the player.