Compliance Monitoring
Automated risk threshold alerts, regulatory flagging, and audit-ready reporting.
Compliance Monitoring
Continuously monitor portfolios for SEBI compliance, concentration risk, and regulatory thresholds.
The Problem
Compliance officers manually review portfolios quarterly:
- Sector concentration limits
- Unlisted exposure caps
- AIF Category III leverage ratios
- SEBI investment adviser disclosure norms
Result: Issues detected late, reactive rather than proactive.
The Sentinel Solution
Real-Time Monitoring
Sentinel checks every extraction against configurable thresholds:
| Rule | Threshold | Action |
|---|---|---|
| Sector concentration | >20% in single sector | Alert RM + Compliance |
| Unlisted exposure | >15% of portfolio | Flag for review |
| AIF leverage | >2× NAV | Immediate escalation |
| Client risk mismatch | Actual > Profile + 10% | Advisory warning |
Automated Reports
Weekly compliance dashboard:
- Flagged clients table
- Rule breach history
- Trend analysis
- Audit trail export
SEBI Filing Export
One-click generation of:
- Portfolio summary per client
- Risk disclosure statements
- Suitibility documentation