Compliance officers and investment managers today face unprecedented challenges relating to SEC, FINRA and European mandates as regulatory reporting has become more complex. Ever-changing trading methods and the latest technical advances present companies with increased oversight burdens and compliance challenges. Our compliance and trade surveillance software products offer comprehensive and versatile features that allow asset owners, broker-dealers, investment advisors, and exchanges to comply with various data-driven regulations while ensuring ongoing monitoring capabilities.
Our Multi-Asset TCA Products:
Liquidity Risk Management
Our comprehensive compliance platform is designed to protect your firm and your own reputation from a long list of potential liabilities or compliance breaches. Compliance+ offers the transparency you need to ensure accurate and compliant executions.
From custom designing a daily input process for your portfolio holdings and estimating your daily position liquidity to calculating your portfolio data for the N-PORT file upload, our Liquidity+ tool can handle your SEC Rule 22e-4 reporting requirements.
We have built a multi-faceted regulatory offering for funds that fall under EU MiFID II and PRIIPs disclosure requirements. From proprietary best execution reporting features to automated delivery of transaction cost summaries for your 'KID' inputs, we can provide the extracts you need.
Click below to learn how our powerful end-to-end trading and transaction surveillance platform can provide transparency; and save you money.