|
Compliance software as a service with audit trails, case management, on demand reports and more. Minimize compliance costs and surprises, all the while preserving profitability.
|
|
|
|
Compliance modules offered a la carte:
- Automated employee trade monitoring, online certifications and pre-trade clearance Learn More
- Portfolio compliance Learn More
- Illegal Insider Trading Learn More
- Performance and holdings dispersions checking Learn More
- Fiduciary accounts and risk management monitoring Learn More
- Anti-money laundering Learn More
- Best execution Learn More
- Service provider oversight (for investment companies) Learn More
- Fair and timely trade allocation and Favoritism checking Learn More
- Excessive activity alerts Learn More
- Safeguarding of client assets from conversion or inappropriate use Learn More
- Price/valuation: validation of process and procedures Learn More
- Account activity patterns Learn More
- Product switching Learn More
|
|
|
|
|
© 2008 Financial Tracking Technologies, LLC
Privacy Statement
