Regulatory alignment with governance-ready artifacts — every cycle.
When regulators (and internal policy) require repeatable process, the gap is rarely “more analysis”. It’s standardized documentation: scenarios, boundaries, limits, attribution, and decision language that survives review. Hedgtrade makes your workflow committee-ready by default.
What changes with Hedgtrade
- Less narrative drift → standardized “regime + scenarios” language
- Clearer action levels → explicit boundaries & invalidation
- Faster reviews → consistent pack structure + exports
- Cleaner audit trail → decision record + exception hooks
- Risk discussions are narrative-driven and hard to audit after the fact.
- Triggers, limits, and invalidation rules live in people’s heads — not templates.
- Evidence is scattered across decks, chats, and ad-hoc spreadsheets.
- Different teams produce different formats → inconsistent oversight.
- Vendor questionnaires force manual assembly of materials.
- Standardized decision framing: regime → scenarios → boundaries → attribution → action.
- Governance-ready packs: consistent sections, language, and evidence fields.
- Limits & breach hooks: thresholds, exceptions, review notes (where applicable).
- Stress + VaR/ES artifacts: repeatable risk summaries for committee cadence.
- Exportable deliverables: PDF/ZIP packs designed for compliance + procurement review.
Outcomes
Cleaner audit trail
Repeatable pack structure captures what you knew and why you acted.
Consistent governance language
Boundaries, triggers, and invalidation rules are explicit — not implied.
Faster compliance reviews
Procurement questions map to one coherent artifact set.
Regulatory themes mapped to Hedgtrade artifacts
Practical mapping for procurement/compliance conversations (not legal advice). Your firm’s policies and local rules apply.
| Region | Regulator / framework | Typical review focus | Hedgtrade support | Artifacts |
|---|---|---|---|---|
| US |
SEC (Advisers Act)
Governance, documentation, evidence of process
|
Documented risk process • consistent decision rationale • oversight trail • model/process controls
|
Standardized weekly pack + scenario/boundary framework so decisions are captured consistently for review.
|
Weekly brief (PDF) • Risk/Scenario pack (PDF) • Limits/breaches export • Disclosures
|
| US |
FINRA (broker / research controls)
Supervision, communications controls
|
Supervisory review evidence • standardized outputs • disclosures & distribution controls |
Repeatable templates + exportable packs designed for controlled sharing and review cadence. |
Standard brief templates • Exported packs (PDF/ZIP) • Disclosure blocks |
| US |
CFTC / NFA
Risk disclosures, recordkeeping
|
Stress discipline • drawdown controls • evidence of how risk posture is reviewed |
Stress libraries + scenario boundaries + attribution so hedging/limits discussions are operationalized. |
Stress outcomes library • Scenario maps • Attribution summaries |
| UK |
FCA
Governance, oversight, risk controls
|
Consistency across teams • escalation paths • evidence of oversight and controls |
Governance pack templates + limits/exception hooks aligned to a repeatable oversight cadence. |
Committee-ready pack exports • Limits/breaches notes • Security overview |
| EU |
MiFID II
Process controls, transparency
|
Clear research vs advice boundary • reporting consistency • governance documentation |
Decision-support framing + pack exports with consistent disclosures and sections. |
Disclosures • Pack exports (PDF) • Methodology 1-pager |
| EU |
AIFMD / UCITS (risk mgmt expectations)
Risk monitoring, stress testing
|
Stress testing discipline • risk limits • evidence of monitoring and escalation |
Stress/VaR/ES artifacts + limits/breaches support a repeatable risk monitoring cadence. |
Risk/Scenario pack • Limits framework exports • Weekly brief |
| SG |
MAS (risk governance expectations)
Controls, governance, documentation
|
Governance cadence • stress testing • documentation of decisions and exceptions |
Pack + limits + consistent decision language; designed for procurement and internal review flows. |
Risk/Scenario pack • Limits/breaches register • Security overview |
| HK |
SFC (internal controls)
Supervision, documented process
|
Process evidence • controls around inputs/models • standard reporting templates |
Consistent artifacts + procurement materials mapped to common vendor review lines. |
Methodology 1-pager • Security overview • Sample weekly brief |
| JP |
JFSA (governance)
Risk controls, documentation
|
Repeatable governance process • stress/limits discipline • documentation for review |
Committee-ready packs + scenario/boundary language for consistent internal governance. |
Pack exports • Scenario boundaries • Audit-friendly summaries |
| AU |
ASIC (risk management expectations)
Governance, oversight
|
Oversight evidence • limits discipline • documentation of process and exceptions |
Standard pack + limits/exception hooks support consistent oversight and reporting. |
Weekly brief • Risk/Scenario pack • Procurement pack materials |
How the workflow runs (weekly cadence)
Define risk posture
Standard language for volatility state, trend/chop, and what changed vs last review.
Baseline vs stress
Write scenarios down with triggers — remove ambiguity from “what would make us act”.
Limits & invalidation
Decision levels, invalidation rules, and what escalates to the committee.
Explain drivers
Contributors, overlap, and concentration flags — so reviewers see what matters.
Export & evidence
Export the pack, capture exceptions, and keep a consistent “why” trail for review.
See it on your universe
We’ll map your governance requirements (limits, escalation, disclosures) and show the full artifact flow: regime → scenarios → boundaries → attribution → export.