ComplySci Solutions

ComplySci Platform

Empowers Compliance Officers to stay ahead of risk by monitoring, managing and reporting on conflicts of interest arising from their employees, including:

  • Personal Trading
  • Gifts & Entertainment
  • Political Contributions
  • IPO
  • Private Placement
  • Marketing Materials
  • Outside Affiliations

ComplianceWorkstation365

Allows Compliance teams to build out their compliance program in a calendar format and track compliance testing, monitoring and reporting in one solution. The Compliance team can assign and track tasks, upload files, and add notes and recommendations, with the ability to extract that same data using a number of easy to use filters. Very useful data during audit times.


Political Contribution Verification

Automatically checks and analyzes campaign contributions and approves political contribution requests, as you monitor and adhere to “pay to play” regulations.


AML

Runs look-ups and reports on prospects, clients, vendors and employees for individuals or entities on OFAC, EU and five other government lists. Also, provides automated ongoing surveillance, and alerts when any matches occur.


Portfolio Compliance

Monitors characteristics of each portfolio, and alerts the Compliance team when holdings fall outside of regulatory, investor or manager process and philosophy guidelines. Portfolio Compliance comes with over 400 out-of-the-box guidelines. Compliance users can set guidelines or rules for:

  • Grouping and concentration tests (absolute and relative)
  • Security attributes tests
  • ERISA and IRS
  • Federal securities laws
  • Securities allowed / not allowed
  • Prohibited transactions with affiliates
  • Leverage allowance
  • Short positions
  • and more

Favoritism

Verifies timely and fair allocation of trades across like portfolios, and detects whether favoritism (e.g. “cherry picking”) has occurred. Favoritism scans the holdings of all similar portfolios, as determined by the client, compares the holdings percentages of the portfolios against the “like” group overall (e.g. holdings dispersion), and flags any exceptions. Also, includes detection and alerts of outliers or missing positions. Tolerance and threshold levels are determined by the client.


Best Execution

Automatically analyzes client trade data vs. market data and signals exceptions to client guidelines.

  • Equity: Each analysis is performed on share, trade, aggregate ticket, trade by dealer, security and security type and portfolio or account levels. Custom reports on any data sets across any time periods. Allows managers to set custom alert thresholds to proactively identify undesired trends in best execution.
  • Fixed Income: The system first searches for same day trades by issuer, trades for issuer over a multi-day window before and after trade date, and lastly, by comparable trades of other issues using coupon, credit quality, maturity date and coupon as parameters for comparables. Next, the system signals when the spread to Treasury or other client-defined price rules are breached. Thresholds can be set using a dollar-weighted pricing methodology, median spread methodology or price only. Allows manager to set custom alert thresholds to pro-actively identify undesired trends in best execution (e.g. repetitive exceptions by trader, PM, executing broker, issuer, etc.).

Portfolio Suitability

Scans characteristics of each account (e.g., holdings and trades vs. client profile) and signals when accounts fall outside of suitability, regulatory (if applicable) and/or investor guidelines. Portfolio Suitability enables complete compliance workflow with audit trails for trade review by manager, initiating cases and case management, on-demand reports and review of client profiles and exceptions management.