Clearwater Sample Compliance Reports for GSAM
Clearwater Sample Reports
Current as of August 2013
Compliance
The Status Report provided a high level view of investment policies and allows users to drill-‐down quickly from the account level to the individual contributor level and monitor investment policy compliance efficiently on a daily basis.
The Compliance Viola4ons report provides a detailed lisCng of all current investment violaCons for individual or mulCple policies.
The History report charts and displays Compliance violaCons based on when they happened, lisCng all the violaCons on an account for a given day. AddiConally, individual policy or an aggregate of policy violaCons can be viewed by date ranges, thanks to period and custom date range adjustment funcConality.
All client modificaCons of policy limits, compliance notes, and compliance resoluCons are tracked and made available within the Compliance Audit Report.
Other
Users have the ability to customize and organize their report dropdown menu through the Report Manager. Reports available in the user’s menu dropdown are listed within the “Menu” page on the right. Reports available to the user but not included in the menu dropdown are listed within the “Available Reports” pane on the leD.
Flexible Report opCons are easy-‐to-‐use and included in nearly every report. To modify a report, simply right click on the column headers. Columns can be sorted ascending or descending. Columns can also be renamed. To reorder a column, simply click on the column header and drag the column to the desired locaCon.
Users can Filter Reports to only display user-‐defined data. To filter a report, right click on a column header and select “Edit Filter”. Users can filter by one or more columns. “Match All” requires that a security saCsfies all condiCons whereas “Match Any” will return any security saCsfying at least one condiCon.
Adding/Removing columns make it easy to view the columns you prefer. To add a column, simply right click on the column header and select the “Add Column” opCon to bring up a tool displaying available fields. Users can browse available fields or search by typing into the search box. Removing a column is as simple as right clicking on the appropriate column and choosing the “Remove Column” opCon.
The Column Manager provides the ability to add or delete mulCple columns at once. Simply right click on the column header and a pop up will appear. The right pane shows all columns currently visible in the report and the leD pane shows all columns available to add. Simply drag and drop columns unCl you have the desired combinaCon.
Reports exported in PDF will have certain columns automaCcally stacked to accommodate the width of a PDF document. The Configure PDF opCon allows the user to configure the PDF layout of user-‐created reports. Columns can be removed from the report enCrely or stacked in a more logical fashion.
AddiConal Report Flexibility includes Grouping, Ungrouping and Sor4ng by Groups. To group by a parCcular column, right click on the desired column and select “Group by” opCon. MulCple groupings can also be applied by clicking “Edit Advanced Grouping”. Note also that grouped reports can be exported to show Summary-‐ Only data. Grouped reports show a single row for each group. ExporCng summary-‐only data leaves the data collapsed in the export, showing summary-‐only informaCon that is useful for high-‐level porWolio views.
The Custom Data Manager enables clients to add custom security-‐level data to Clearwater. With appropriate permissions, users can add new columns of security data at the idenCfier level, to enable adding client-‐defined data points into reports, earmarking securiCes to indicate securiCes out on loan, and displaying modified classificaCons, for example.
Clearwater provides each client with the funcConality to administer their own account access to individual users through the Account Access page. Authorized Administrators will be able to grant and restrict user access to their Clearwater accounts.
Thank You www.clearwater-‐analyCcs.com
Current as of August 2013
Compliance
The Status Report provided a high level view of investment policies and allows users to drill-‐down quickly from the account level to the individual contributor level and monitor investment policy compliance efficiently on a daily basis.
The Compliance Viola4ons report provides a detailed lisCng of all current investment violaCons for individual or mulCple policies.
The History report charts and displays Compliance violaCons based on when they happened, lisCng all the violaCons on an account for a given day. AddiConally, individual policy or an aggregate of policy violaCons can be viewed by date ranges, thanks to period and custom date range adjustment funcConality.
All client modificaCons of policy limits, compliance notes, and compliance resoluCons are tracked and made available within the Compliance Audit Report.
Other
Users have the ability to customize and organize their report dropdown menu through the Report Manager. Reports available in the user’s menu dropdown are listed within the “Menu” page on the right. Reports available to the user but not included in the menu dropdown are listed within the “Available Reports” pane on the leD.
Flexible Report opCons are easy-‐to-‐use and included in nearly every report. To modify a report, simply right click on the column headers. Columns can be sorted ascending or descending. Columns can also be renamed. To reorder a column, simply click on the column header and drag the column to the desired locaCon.
Users can Filter Reports to only display user-‐defined data. To filter a report, right click on a column header and select “Edit Filter”. Users can filter by one or more columns. “Match All” requires that a security saCsfies all condiCons whereas “Match Any” will return any security saCsfying at least one condiCon.
Adding/Removing columns make it easy to view the columns you prefer. To add a column, simply right click on the column header and select the “Add Column” opCon to bring up a tool displaying available fields. Users can browse available fields or search by typing into the search box. Removing a column is as simple as right clicking on the appropriate column and choosing the “Remove Column” opCon.
The Column Manager provides the ability to add or delete mulCple columns at once. Simply right click on the column header and a pop up will appear. The right pane shows all columns currently visible in the report and the leD pane shows all columns available to add. Simply drag and drop columns unCl you have the desired combinaCon.
Reports exported in PDF will have certain columns automaCcally stacked to accommodate the width of a PDF document. The Configure PDF opCon allows the user to configure the PDF layout of user-‐created reports. Columns can be removed from the report enCrely or stacked in a more logical fashion.
AddiConal Report Flexibility includes Grouping, Ungrouping and Sor4ng by Groups. To group by a parCcular column, right click on the desired column and select “Group by” opCon. MulCple groupings can also be applied by clicking “Edit Advanced Grouping”. Note also that grouped reports can be exported to show Summary-‐ Only data. Grouped reports show a single row for each group. ExporCng summary-‐only data leaves the data collapsed in the export, showing summary-‐only informaCon that is useful for high-‐level porWolio views.
The Custom Data Manager enables clients to add custom security-‐level data to Clearwater. With appropriate permissions, users can add new columns of security data at the idenCfier level, to enable adding client-‐defined data points into reports, earmarking securiCes to indicate securiCes out on loan, and displaying modified classificaCons, for example.
Clearwater provides each client with the funcConality to administer their own account access to individual users through the Account Access page. Authorized Administrators will be able to grant and restrict user access to their Clearwater accounts.
Thank You www.clearwater-‐analyCcs.com
