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Using the Equity Trade Simulator (ETS) to enhance the Compliance Process of Equity Portfolio Management

by Meshal Alhusaynan, Majed Almashari
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International Journal of Computer Applications
Foundation of Computer Science (FCS), NY, USA
Volume 185 - Number 41
Year of Publication: 2023
Authors: Meshal Alhusaynan, Majed Almashari
10.5120/ijca2023923217

Meshal Alhusaynan, Majed Almashari . Using the Equity Trade Simulator (ETS) to enhance the Compliance Process of Equity Portfolio Management. International Journal of Computer Applications. 185, 41 ( Nov 2023), 31-37. DOI=10.5120/ijca2023923217

@article{ 10.5120/ijca2023923217,
author = { Meshal Alhusaynan, Majed Almashari },
title = { Using the Equity Trade Simulator (ETS) to enhance the Compliance Process of Equity Portfolio Management },
journal = { International Journal of Computer Applications },
issue_date = { Nov 2023 },
volume = { 185 },
number = { 41 },
month = { Nov },
year = { 2023 },
issn = { 0975-8887 },
pages = { 31-37 },
numpages = {9},
url = { https://ijcaonline.org/archives/volume185/number41/32962-2023923217/ },
doi = { 10.5120/ijca2023923217 },
publisher = {Foundation of Computer Science (FCS), NY, USA},
address = {New York, USA}
}
%0 Journal Article
%1 2024-02-07T01:28:21.846574+05:30
%A Meshal Alhusaynan
%A Majed Almashari
%T Using the Equity Trade Simulator (ETS) to enhance the Compliance Process of Equity Portfolio Management
%J International Journal of Computer Applications
%@ 0975-8887
%V 185
%N 41
%P 31-37
%D 2023
%I Foundation of Computer Science (FCS), NY, USA
Abstract

Portfolio management is a service that seeks to provide many functions to manage portfolios along with applying different compliance and regulation rules. This paper aims to highlight the issues that sophisticated investors face once they monitor their equities portfolios that multiple portfolio managers are managing. The paper also studies the impact of this process in detail and recommends some quick and long-term solutions to its related problems. One of the possible solutions is an Equity Trade simulator (ETS). The ETS is an information system that enables portfolio managers to check the compatibility of their trades with the compliance rules that sophisticated investor has set. It also allows the portfolio manager to import the trade details to the shared data mart after executing it in the market. In addition, the ETS gives the sophisticated investor the capability to analyze the behaviors of all assigned portfolio managers by applying what-if analysis on the rejected trades that do not meet the compliance rules. Furthermore, the ETS allows sophisticated investors to keep track of all the breaches caught by the system while simulating the trade by the portfolio manager. Moreover, the ETS can be enhanced to solve more equities-related issues and extend to include different financial instruments.

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Index Terms

Computer Science
Information Sciences

Keywords

Investment Equity Compliance Information system Simulator portfolio investors

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