Excessive Activity Detection/Intelligent Filtering and Alerts

The Benefits:

Lower compliance costs enabled by "One stop shop"- Automated solutions from one partner, all with case management and audit trails;
Time gain- Less on-site time by regulators, less time for the annual review, less overhead due to work automation and less time for the arduos and daunting tasks of gathering, organizing and analyzing data;
Reduced regulatory and fiduciary risks because our system minimizes surprises and losses;
Competitive advantages in asset gathering and retention- Investors enjoy enhanced trust, comfort and confidence during due diligence efforts due to the independence of our system.

Excessive Activity Detection/Intelligent Filtering and Alerts

The system will flag and report unusual activities in a supervised person’s portfolio or proprietary portfolio, or both, such as excessive trading patterns, exceptionally large transactions, large cash inflows/outflows, material increases in a position and significant account value changes. The purpose of this module is for detection of misuses of non-public information, money laundering or portfolio pumping, or combination. We employ proprietary, back-tested algorithms in this feature that intelligently filters the data from our automatic and consistent analysis and processes. This filtering provides for significant time gains in productivity as well as minimizing surprises and losses over the long term. Developed by investment experts from academia, the algorithms “watch” data patterns, and its contents, and report when activities diverge from their historical norms. The exception report (s) to this guideline, when it occurs, is sent via email to the authorized user(s). The detailed report on the exception is accessible and downloadable via our website and is user ID and password protected.

Additional Features of this module

Exceptions Resolutions Archiving and Tracking: All exceptions to guidelines are archived and aged by calendar until closed by the compliance user. This feature provides for both “notes to the file” capabilities as well as audit trails for internal or regulatory audit purposes, or both.

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