Investment Manager Oversight demo

What the demo shows

Agents collect and review sub-advisers' certifications, guideline reports and DDQs for CCOs

The quarter opens as one row of stepping stones per sub-adviser, Requested, Received, Read, Exceptions and Signed, with a count of the quarter's progress and the conversation with the agents beside it. The Chaser agent sends requests and reminders from the oversight mailbox with approved templates and leaves a drafted reminder beside every late stone. The Reader agent reads each certification, guideline report and questionnaire against the sub-advisory agreement, in the original language beside the English. The Cross-check agent re-runs every coded guideline on the firm's own holdings and catches breaches the sub-adviser did not report; the Verifier agent re-derives each one; the Change-watch agent compares this year's answers with last year's and with Form ADV. The analyst decides, the Head of Oversight checks, the CCO signs the board report the Board report agent drafted, and the board liaison publishes it.

Transcript

1. 0:00Investment Manager Oversight. For compliance teams, agents collect and review every sub-advisor's certifications.
2. 0:10SEC examiners keep finding boards that never approved sub-adviser's policies.
3. 0:1723 sub-advisers, each a row of stones.
4. 0:21Reminders wait beside the late ones.
5. 0:26The Reader checks each document against its agreement, even in Japanese.
6. 0:32Merrow Bay certified no breaches.
7. 0:35Quillfield's holdings show three days over the cap.
8. 0:41It counted Korea as developed.
9. 0:44The agreement, says MSCI.
10. 0:46The verifier agrees. Tomas asks why, approves the chaser's email, and Merrow Bay confirms.
11. 0:57Hannah, head of oversight, checks and closes it.
12. 1:03CCO Ruth Okafor signs the board report, breach disclosed.
13. 1:09Every finding cited, every decision signed twice, every step logged.
14. 1:16Result, 26,000 tests, two hidden breaches caught before the board meets.
15. 1:23Built on Botminds: agents, data, screens, and governance on one platform.

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