Risk becomes especially sensitive when it originates from within the core trading operations of the firm, that very place from which your reputation and your bottom line is built. Address deal review management, MAR and trade compliance with the comprehensive tools in our KYT suite.
Trade surveillance
Tracks firm/client and employee trading for insider trading, restricted & watch list breaches and violations of firms' policy-based rules so firms can meet their regulatory obligations and protect themselves from insider trading at a low cost.
Customer suitability
Automates firms' customer suitability monitoring activities and reduces the risks and cost of compliance. The solution supports suitability requirements across the firm, whether a single regulated entity or multiple entities with various regulators.
Deal & engagement review
Allows control room and compliance departments to manage potential conflicts of interest easily and quickly in investment banking deals. The DRM module helps firms review investment banking deals, evaluate potential conflicts, define the associated restrictions, and capture the compliance review for auditing, regulatory and reporting needs.
MNPI & insider information
Protects Material Non-Public Information (MNPI) and manages insider information by enabling users to create and access insider lists containing all information required under market abuse regulations, preparing firms to supply information to regulators when requested.