Investment Compliance Monitoring

Powerful Tools, Expert Support


BNY Mellon’s Investment Compliance Monitoring services helps clients effectively monitor investment policy goals and guidelines and delivers the transparency and control needed to support your governance and risk management practices.

Post-Trade, Rules Based Services 

  • Create a compliance monitoring program that’s aligned to your stated investment objectives and your need to manage specific risk elements
  • Detect and promptly address issues and investment breaches
  • Access comprehensive reporting to support your compliance process, analyze the activity of investment managers and communicate with stakeholders


Equity positions in your portfolio are scored based on a scale of zero to one hundred—making it simple to understand and communicate how your portfolio is performing against key sustainability metrics


We use an extensive range of security attributes to help construct customized, complex, multi-level guidelines to monitor your investment mandates


Provides the capability to screen your investments against a wide range of Environment, Social and Governance (ESG) criteria covering sensitive business issues

Our Insights

September 2018

The GIPs Standards for Assets Owners

As a result of the increased transparency and due diligence on the part of asset owners, we are seeing a growing interest in attaining Global Investment Performance Standards compliance among the asset owner community.

Our Solutions

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