List of Charles River IMS Compliance and Regulatory Customers
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United States
Since 2010, our global team of researchers has been studying Charles River IMS Compliance and Regulatory customers around the world, aggregating massive amounts of data points that form the basis of our forecast assumptions and perhaps the rise and fall of certain vendors and their products on a quarterly basis.
Each quarter our research team identifies companies that have purchased Charles River IMS Compliance and Regulatory for Governance, Risk and Compliance from public (Press Releases, Customer References, Testimonials, Case Studies and Success Stories) and proprietary sources, including the customer size, industry, location, implementation status, partner involvement, LOB Key Stakeholders and related IT decision-makers contact details.
Companies using Charles River IMS Compliance and Regulatory for Governance, Risk and Compliance include: National Australia Bank, a Australia based Banking and Financial Services organisation with 39240 employees and revenues of $13.55 billion, Franklin Templeton, a United States based Banking and Financial Services organisation with 10300 employees and revenues of $7.85 billion, Canada Pension Plan Investment Board, a Canada based Banking and Financial Services organisation with 2052 employees and revenues of $436.0 million, Madison Investment Advisors, a United States based Banking and Financial Services organisation with 110 employees and revenues of $50.0 million and many others.
Contact us if you need a completed and verified list of companies using Charles River IMS Compliance and Regulatory, including the breakdown by industry (21 Verticals), Geography (Region, Country, State, City), Company Size (Revenue, Employees, Asset) and related IT Decision Makers, Key Stakeholders, business and technology executives responsible for the software purchases.
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| Logo | Customer | Industry | Empl. | Revenue | Country | Vendor | Application | Category | When | SI | Insight |
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Canada Pension Plan Investment Board | Banking and Financial Services | 2052 | $436M | Canada | Charles River Development | Charles River IMS Compliance and Regulatory | Governance, Risk and Compliance | 2020 | n/a |
In 2020 Canada Pension Plan Investment Board implemented Charles River IMS Compliance and Regulatory within the Governance, Risk and Compliance category. The cloud-based Charles River IMS selection targeted a modernization of multi-asset portfolio management and trading to strengthen governance and controls across public markets operations in Canada and globally.
The Charles River IMS Compliance and Regulatory deployment emphasized integrated compliance capabilities alongside portfolio and trading modules. Configuration work focused on embedding rule logic for pre-trade and post-trade compliance enforcement, and aligning multi-asset portfolio management workflows with trading and order management processes to support straight-through processing.
Operational scope covered public markets trading and portfolio operations, affecting portfolio managers, trading desks, compliance teams, and middle office operations across CPP Investments global footprint. The program was positioned to rationalize legacy applications by consolidating compliance functionality into Charles River, improving interoperability and transaction flow consistency without naming specific prior systems.
Governance and workflow changes included centralizing compliance controls and standardizing exception workflows to tighten oversight and control frameworks. The implementation aimed to improve straight-through processing and reduce operational risk by consolidating compliance processing into the Charles River IMS Compliance and Regulatory platform and by providing a single cloud-hosted control plane for policy enforcement and auditability.
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Franklin Templeton | Banking and Financial Services | 10300 | $7.8B | United States | Charles River Development | Charles River IMS Compliance and Regulatory | Governance, Risk and Compliance | 2009 | n/a |
In 2009, Franklin Templeton implemented Charles River IMS Compliance and Regulatory to support its Investment Compliance operations, a deployment categorized under Governance, Risk and Compliance. The implementation was positioned to enforce portfolio restrictions and regulatory rules across the firm’s investment products, aligning the compliance system with the firm’s pre‑trade and post‑trade review responsibilities.
Charles River IMS Compliance and Regulatory was configured to manage rule definitions, pre‑trade pre‑clear alerts, post‑trade surveillance alerts, account setup and restriction validation workflows. The implementation involved detailed rule management and exception handling capabilities, supported by manual calculation workflows where automated rules required human validation, and by routine updates to prospectus and Investment Management Agreement restrictions within the system.
The deployment integrated with market data and vendor feeds referenced by compliance analysts, reflecting the team’s expectation of Bloomberg API connectivity for reference pricing and instrument data. Operationally the system was embedded into portfolio and trading workflows, enabling the Senior Portfolio Compliance Analysts to act as liaison points for Investment Management and to escalate potential violations through established notification protocols.
Governance and process changes accompanied the rollout, with Senior Portfolio Compliance Analysts providing quality control over analyst testing, coordinating audit requests, leading cross‑functional projects, and delivering training and data management improvements. The implementation emphasized preventive, detective and corrective measurements within Investment Compliance, and focused on preserving controls to ensure adherence to client mandates, fund documentation and applicable regulations.
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Madison Investment Advisors | Banking and Financial Services | 110 | $50M | United States | Charles River Development | Charles River IMS Compliance and Regulatory | Governance, Risk and Compliance | 2015 | n/a |
In 2015, Madison Investment Advisors deployed Charles River IMS Compliance and Regulatory as a hosted service to consolidate portfolio management, trading and performance workflows. The deployment targeted Governance, Risk and Compliance by centralizing integrated data, analytics and compliance monitoring across its global equity and domestic fixed income operations in the United States.
Charles River IMS Compliance and Regulatory was delivered as a SaaS hosted service, providing integrated portfolio management, trading workflow capabilities and performance measurement alongside compliance monitoring modules. Operational coverage focused on portfolio managers and traders, with governance changes to unify workflow controls and embed compliance monitoring into front office processes. The implementation emphasized data consolidation and analytics intended to increase PM and trader productivity and to reduce compliance risk, and it strengthened compliance controls through centralized policy enforcement across the targeted business functions.
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Banking and Financial Services | 39240 | $13.6B | Australia | Charles River Development | Charles River IMS Compliance and Regulatory | Governance, Risk and Compliance | 2020 | n/a |
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