Solution introduction
The NexCompliance module makes it easier for Broker-Dealers to complete compliance related tasks, thus reducing the possible occurences of non-compliance
By simplifying the compliance process, managers can quickly respond to regulatory requests with electronic reports, increasing confidence that the firm is well managed. The NexCompliance module included:
- Compliance rules-based engine
- Pre and Post trade surveillance
- Suitability / Investment oversight
- AML testing
- Tracks CE
- Oversight 17a3 letters
- Electronic blotters
