Governance & Oversight
Institutional-grade governance frameworks engineered for fiduciary oversight, regulatory compliance, and complete operational transparency.
WAVES Intelligence provides comprehensive governance infrastructure designed for institutional investment environments. Our platform delivers the auditability, benchmark integrity, data lineage, and risk oversight capabilities required for fiduciary-level portfolio management and regulatory compliance.
Governance Pillars
Four foundational capabilities ensuring institutional compliance and operational excellence
Auditability
Comprehensive audit trail infrastructure capturing every portfolio decision, system action, and data modification with immutable logging for regulatory examination and forensic analysis.
Benchmark Integrity
Continuous validation and reconciliation frameworks ensuring accuracy, consistency, and institutional standards across all performance benchmarks and analytics calculations.
Data Lineage
Complete traceability from raw market data through analytics processing to portfolio decisions, providing full transparency into calculation methodologies and data transformations.
Risk Oversight
Multi-layer risk management infrastructure with real-time exposure monitoring, limit enforcement, and comprehensive governance controls for institutional risk frameworks.
Regulatory Compliance Framework
Built-in support for institutional regulatory requirements and fiduciary standards
SEC & FINRA Compliance
Comprehensive support for securities regulations including Form ADV disclosure requirements, custody rule compliance, and investment adviser recordkeeping standards.
Fiduciary Standards
Institutional frameworks supporting ERISA fiduciary responsibilities, prudent investor rules, and investment committee governance documentation requirements.
Data Privacy & Protection
GDPR compliance infrastructure with data sovereignty controls, privacy frameworks, and consent management aligned with institutional requirements.
SOC 2 Type II Certification
Independent validation of security controls, availability guarantees, processing integrity, confidentiality measures, and privacy protections.
Governance Controls & Workflows
Automated enforcement and oversight mechanisms for institutional governance requirements
Approval Workflows
Hierarchical approval chains for portfolio decisions, risk policy changes, and strategic allocations with delegation controls and escalation procedures.
Policy Enforcement
Automated validation of investment policies, mandate compliance, and regulatory constraints with real-time breach prevention and alerting.
Access Governance
Role-based permissions with mandatory multi-factor authentication, session management, and privileged access monitoring for institutional security.
Change Management
Controlled deployment procedures, configuration versioning, and rollback capabilities with complete change history and impact analysis.
Documentation Standards
Automated generation of investment committee materials, board presentations, and regulatory reports with version control and approval tracking.
Incident Response
Structured procedures for security incidents, data breaches, and operational failures with automated escalation and regulatory notification protocols.
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