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SunGard Unveils Asset Arena Compliance


SunGard (, today announced the release of a new module of its Asset Arena solution suite, Asset Arena Compliance. The new offering combines pre-trade, post-trade and post-NAV functions in a single compliance application. The solution will help meet the increasingly important need for investment firms, third party administrators and custodians to streamline compliance workflows and data management across front-, middle- and back-office investment processes. For more information, visit

In an environment of increased regulatory scrutiny, rising complexity in asset types and investment strategies, as well as an ongoing need for improved trading speed, Asset Arena Compliance helps customers address the entire investment management process. This includes: pre-trade checking for portfolio managers; post-trade checking for asset servicers, compliance officers and custodians; and post-NAV breach analysis for compliance officers or custodian controllers. Additionally, Asset Arena’s audit database tracks the information required for auditors.

Asset Arena Compliance comes with a core library of pre-installed rules and a rule wizard that allows for the creation of custom rules. This new module will be available as a standalone offering and can be integrated with Asset Arena’s Investment Accounting, Portfolio Management and Trading solutions.

Using SunGard’s Infinity*, Asset Arena Compliance benefits from a service-oriented architecture (SOA) that facilitates integration through the use of common technology standards. Asset Arena Compliance uses a smart bulk-data transfer engine to help ensure the integrity of data. Its flexible data structure high capacity servers can address speed, scalability and growing volumes.

Doug Morgan, president of SunGard’s institutional asset management business, commented: “Most asset managers and fund administration firms have multiple operations platforms from which they must collect and analyze data in order to build compliance rules. Even custodians in charge of compliance supervision have to manage different data sources. Asset Arena Compliance provides a centralized, integrated application that addresses the need for real-time response in the front-office, along with the ability to map to multiple data sources in the back-office. Providing a single solution across front-, middle-, and back-office workflows, Asset Arena Compliance helps firms manage reputational risk in a demanding regulatory and investment operations environment.”

* SunGard is pursuing a visionary initiative to transform some of the key functionality of its core systems into components to form a new software development and on-demand delivery environment called Infinity. Infinity will help financial institutions to develop and deploy custom applications, integrating SunGard components with their own proprietary or third party components. Infinity uses SunGard’s Common Services Architecture (CSA), a service-oriented architecture (SOA) development framework, offering business process management (BPM) and a virtualized, software-as-a-service (SaaS) infrastructure.


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