DEMO MODE -- Using simulated data. Connect backend for live data.
In Progress
Lead: Arjun KumarTeam: 8 membersStarted: 15 Jan 2026Due:30 Apr 2026

Unified Compliance Overview

2 Critical, 3 High

Holistic view of compliance, surveillance, and AML across all schemes

Compliance Health Score

Aggregated compliance score across all modules and schemes

87.3/ 100
Good
Regulatory Compliance
92%
Investment Restrictions
88%
AML/KYC
85%
Trade Surveillance
91%
ESG
78%

Active Alerts Across All Modules

Combined alerts from Compliance, Surveillance, AML/KYC, and ESG — sorted by severity

2 Critical3 High5 Medium5 Low
SeveritySourceAlert TypeSchemeDescriptionDetectedStatusAssigned To
CriticalAMLStructuringLiquid Fund5 transactions just below the 10L threshold in 48 hrs2 hrs agoOpenPriya Mehta
CriticalSurveillanceFront-RunningLarge Cap GrowthFront-running probability 87% — personal trade preceded scheme order4 hrs agoEscalatedAmit Patel
HighComplianceSingle Issuer LimitBlue Chip EquitySingle issuer exposure at 9.8% — approaching 10% regulatory cap6 hrs agoUnder ReviewSunita Rao
HighAMLPEP Due DiligenceMulti CapPEP investor enhanced due diligence overdue by 15 days1 day agoOpenVikram Singh
HighComplianceOverseas LimitInternational FundOverseas investment at $920M — approaching $1B AMC-level cap1 day agoUnder ReviewPriya Mehta
MediumESGGreenwashingGreen Energy FundPortfolio alignment 45% vs 65% minimum threshold2 days agoInvestigatingAmit Patel
MediumSurveillanceBroker ConcentrationMid Cap OppBroker concentration 22% through single broker — IIFL Securities2 days agoUnder ReviewSunita Rao
MediumComplianceSector ConcentrationFlexi Cap FundFinancial services sector at 23.5% — nearing 25% limit2 days agoOpenVikram Singh
MediumAMLUnusual PatternCorporate BondRapid in/out pattern — 4.2 Cr redeemed within 7 days of investment3 days agoInvestigatingPriya Mehta
MediumSurveillanceChurningSmall Cap FundPortfolio turnover 2.34x vs category avg 1.10x — excessive trading3 days agoOpenAmit Patel
LowComplianceTER VarianceTax Saver ELSSTER at 2.18% — within limit but 0.07% above peer average4 days agoOpenSunita Rao
LowESGVoting MisalignmentESG Leaders FundProxy vote deviated from ESG policy on 2 resolutions4 days agoUnder ReviewVikram Singh
LowAMLKYC ExpiryMulti Asset12 investors with KYC documents expiring within 30 days5 days agoOpenPriya Mehta
LowComplianceCategory NormsBalanced AdvantageEquity allocation at 72% — monitor for category re-classification risk5 days agoOpenAmit Patel
LowSurveillanceBest ExecutionLarge Cap GrowthExecution quality dip — VWAP deviation -0.90% on L&T trade via Axis Capital6 days agoOpenSunita Rao

Scheme Compliance Matrix

Cross-module compliance status per scheme

SchemeInvest.TERCategoryAMLTradingESGOverall
Large Cap GrowthWarning
Blue Chip EquityWarning
Mid Cap OpportunitiesWarning
Flexi Cap FundWarning
Small Cap FundBreach
Multi Cap FundWarning
Green Energy FundBreach
International FundWarning
Corporate Bond FundWarning
Liquid FundBreach

Regulatory Calendar

Upcoming filing deadlines and compliance milestones

Half-Yearly Trustee Report (HYTR)

At Risk
Due: 2026-03-313 days left

Monthly Cumulative Report (MCR)

On Track
Due: 2026-04-036 days left

SEBI AML/CFT Compliance Report

On Track
Due: 2026-04-1013 days left

Quarterly Investor Disclosure

On Track
Due: 2026-04-1518 days left

Annual Scheme Information Document Update

Overdue
Due: 2026-04-30Overdue

Compliance Score Trend — Last 12 Months

Monthly compliance scores across all modules showing improvement/deterioration trends

+5.2 pts over 12 months