Compliance Modules offered a la carte:

Automated employee trade monitoring, online certifications and pre-clearance Learn More
Portfolio compliance checking versus investment policy or mandate or securities' laws, or combination Learn More
Performance 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

The Compelling Reasons to Choose Financial Tracking:

"One stop shop": multiple solutions from one partner
Global security master file
Proprietary algorithms for undesired patterns detection
Return on Investment: Clients use fewer tools and incur less overhead resulting from automation of numerous work duties
Because our service enables users to minimize surprises and losses over the long term, business risks, audit time and fiduciary liability are reduced
Investors enjoy enhanced trust, comfort and confidence in the investment experience, resulting in drastic competitive advantages in asset retention and asset gathering
Data aggregation and data management

Automated Compliance Monitoring, Alerting and Archiving

Our technology automatically and consistently monitors enterprise data, all against custom parameters. Next, "First to Know™" signals exceptions-to-guideline alerts as they occur. This feature provides for online case management as well as audit trails for internal and regulatory audit purposes. Overall, clients are the "First to Know™" (patents pending) when compliance violations occur.

The Costs of Non-Compliance

When a regulator has determined a firm has committed serious compliance violations, auditors may start an investigation. The investigative process can negatively impact the firms operations in many ways. Specifically, the firm can experience greater operating costs due to higher legal expenses and employees are distracted from their normal responsibilities to cooperate with the investigation. This in turn, creates morale issues and employee attrition could increase. News of the investigation can easily spread and thus create public relations issues. Even if the regulator decides not to pursue the investigation further or bring legal action, the firms reputation is damaged and it may be very challenging to recover from the news. Further, and worst of all, client attrition could begin, reducing profitability and even threatening the stability of the firm.

Most firms settle charges brought by the regulators which usually includes a combination of fines, disgorgements and sanctions, of both the firm and employees. These actions could affect the employment status of individuals within the industry and the firm. In most cases, the settlements include ensuing corrective actions that can be expensive further damaging the firms profitability and morale, etc. Of course, public disclosure of such actions often occurs in a variety of forms, namely publications, conferences, newsletters, industry chat rooms, blogs and regulatory websites, etc. Lastly, the firm most likely will receive more frequent audits that are broader and deeper in scope than would normally be the case. The fundamental question is how willing a firm is to take the path of non-compliance and run the risk of the aforementioned consequences.

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