The Gold Standard for Strategic Compliance Management Solutions

Web Illustration-1-02Compliance Administration

  • Data Quality Management
  • Trade Surveillance
  • Broker Feeds Management
  • Case Management
  • Third Party Monitoring
  • Task & Certifications Calendar
  • Real-time Forensics & Alerts
  • Dashboards & Reporting
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Web Illustration-1-05Certification and Preclearance

Intuitive, fast, mobile ready, configurable

Fully automates the certification process to satisfy regulatory requirements for personal trading, gifts and entertainment, outside affiliations, political contributions, marketing and advertising, private placements, IPOs and any number of custom policies. In addition, preclears employee activities such as trade requests at anytime from anywhere or mobile device, in accordance with your company’s Code of Conduct policies.

 

  • Code of Conduct
  • Personal Account Trading
  • Gifts & Entertainment
  • Political contributions
  • Outside Affiliations
  • Private Placement & IPO
  • Marketing & Advertising
  • Custom Policies

Web Illustration-1-04Data Quality

  • Highest quality data is fundamental to achieving compliance excellence.
  • The Risk Data Engine™ powers data aggregation, normalization and enrichment from all data sources – broker feeds, firm trades, T&E, Sanction and Restricted Lists and more.
  • Proprietary algorithms sync with the Securities Master to ensure only valid data enters the risk repository.
Technology

What You Can Expect

Protect against reputational damage
Manage conflicts of interest
Help mitigate people risk
Manage supervisory risk
Demonstrate a culture of compliance
Boost compliance team efficiency and effectiveness
Streamline audits and regulatory reviews