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Leading Financial

Compliance Software



 

We provide a holistic compliance solution for capital market firms, retail brokers, private client groups and advisory businesses.

 

20,000+
Users
Fortune 500
Clients
23+
Years



Featured Module

Protect your firm's data with E-WORM

Protection from attacks
  • Ransomware
  • Malware
  • Viruses
Protection for businesses
  • Financial
  • Health Care
  • Government
Protection from disaster
  • Data Corruption
  • Disk/storage crash
  • Physical equipment loss

If you believe your company is at risk of ransomware or needs to address stringent SEC or FINRA electronic data storage requirements, then sign up for a free demo! We would love to speak to you!




Transaction storage, trade exception processing, supervisory documentation and review of trades & exceptions

Sales & Trading

  • Transactional blotters
  • Trade exceptions
  • Trade errors
  • Cancel-rebill

Investment Banking

  • Watch-list transaction monitoring (US and International Public & Private)
  • Restricted list transaction monitoring

Research

  • Restricted list transaction monitoring
  • Security Clearance by compliance

Operations

  • Provides commission reports for trading
  • Open Order & positions reconciliation

Fixed Income:

  • Daily Trade Blotters
  • Late trades
  • As of trades
  • Mismatch trades
  • Markup/Mark-Down exceptions
  • Best Execution/Fair Pricing exception
  • Risk Management
    • Positions
    • Trade Volumes
    • Aged Inventory
    • Risk Limits
Trade surveillance for advisory business, transaction storage, trade exception processing, supervisory documentation and review of trades & exceptions, and WORM retention storage

Advisory Compliance

  • Trade surveillance of financial advisors
  • Annual State Registration
  • U4 Reconciliation
  • Daily Registration exception reporting

Private Client Group (PCG)

  • Account Reviews
  • Broker Reviews
  • Customer complaints
  • Disciplinary letters
  • AML Compliance

Annual Advisory Review (AAR)

  • Tracking Annual meetings with investors
  • Detects & Prevents RIA violations of the Investment Advisers Act

Wealth Management

  • Product Review
Portfolio management, transaction storage, supervisory documentation and review of trades & exceptions, and WORM retention storage

Portfolio Management

  • Integration with Banking Front & Back Office Systems
  • Portfolio with drill down analysis & Tracking

Compliance

  • Configurable settings for Portfolio Types
  • Exception Processing
  • Documentation Review & Reporting
  • Trade Level Compliance
    • Restricted Securities
  • Holdings Level Compliance
    • Portfolio Diversification
    • Asset Allocation Levels
    • Limits By Sectors
Supervisory controls for employee personal trading, conflicts of interests & certifications, with customizable workflows, and the ability to select each module listed below a la carte

Employee Trading Pre-clearance


  • Automated Trade request and approval workflows
  • All major asset types supported
  • Watchlist and restricted list tracking
  • Multiple levels of approvals

  • Trade violations reporting

  • Automated activity downloads from outside accounts and reconciliation
  • Trade and violation reviews

Conflict of Interest Tracking

  • Gifts and Entertainment
  • Political Contributions
  • Outside Business Activity
  • Private Security Transactions
  • Outside Brokerage Accounts
  • Sponsorship Approvals
  • Public Appearance
  • Compliance module to electronically document and chaperone meetings between Investment Banking, Research and Syndicate
  • Soft Dollar Arrangement approvals and tracking

Certifications and Policy Questionnaires with attestation and review

  • Annual Compliance Questionnaire
  • New Hire Questionnaire
  • Tracking outside accounts
  • Tracking account transfers from different brokerage firms
  • Summary reports
Transaction storage, trade exception processing, supervisory documentation and review of trades & exceptions

 Sales & Trading        

  • Transactional blotters
  • Trade exceptions
  • Trade errors
  • Cancel-rebill

 Investment Banking        

  • Watch-list transaction monitoring (US and International Public & Private)
  • Restricted list transaction monitoring

 Research        

  • Restricted list transaction monitoring
  • Security Clearance by compliance

 Operations       

  • Provides commission reports for trading
  • Open Order & positions reconciliation

 Fixed Income:       

    • Daily Trade Blotters
    • Late trades
    • As of trades
    • Mismatch trades
    • Markup/Mark-Down exceptions
    • Best Execution/Fair Pricing exception
    • Risk Management
      • Positions
      • Trade Volumes
      • Aged Inventory
      • Risk Limits
Trade surveillance for advisory business, transaction storage, trade exception processing, supervisory documentation and review of trades & exceptions, and WORM retention storage

 Advisory Compliance        

  • Trade surveillance of financial advisors
  • Annual State Registration
  • U4 Reconciliation
  • Daily Registration exception reporting

 Private Client Group (PCG)        

  • Account Reviews
  • Broker Reviews
  • Customer complaints
  • Disciplinary letters
  • AML Compliance

 Annual Advisory Review (AAR)        

  • Tracking Annual meetings with investors
  • Detects & Prevents RIA violations of the Investment Advisers Act

 Wealth Management       

  • Product Review
Portfolio management, transaction storage, supervisory documentation and review of trades & exceptions, and WORM retention storage

 Portfolio Management        

  • Integration with Banking Front & Back Office Systems
  • Portfolio with drill down analysis & Tracking

 Compliance        

  • Configurable settings for Portfolio Types
  • Exception Processing
  • Documentation Review & Reporting
  • Trade Level Compliance
    • Restricted Securities
  • Holdings Level Compliance
    • Portfolio Diversification
    • Asset Allocation Levels
    • Limits By Sectors
Supervisory controls for employee personal trading, conflicts of interests & certifications, with customizable workflows, and the ability to select each module listed below a la carte

 Employee Trading Pre-clearance        

  • Automated Trade request and approval workflows
  • All major asset types supported
  • Watchlist and restricted list tracking
  • Multiple levels of approvals

  • Trade violations reporting

  • Automated activity downloads from outside accounts and reconciliation
  • Trade and violation reviews

  Conflict of Interest Tracking        

  • Gifts and Entertainment
  • Political Contributions
  • Outside Business Activity
  • Private Security Transactions
  • Outside Brokerage Accounts
  • Sponsorship Approvals
  • Public Appearance
  • Compliance module to electronically document and chaperone meetings between Investment Banking, Research and Syndicate
  • Soft Dollar Arrangement approvals and tracking

  Certifications and Policy Questionnaires with attestation and review        

  • Annual Compliance Questionnaire
  • New Hire Questionnaire
  • Tracking outside accounts
  • Tracking account transfers from different brokerage firms
  • Summary reports