Brokerage Compliance

Deter Non-Compliant Activities with Global Compliance Risk Management

Financial institutions are subject to increased scrutiny and heavy fines by regulatory bodies and courts. In addition to the need to comply with external regulations, firms’ own internal policies plus the need to supervise activities across the organization, identify issues and record actions taken in a timely fashion. Firms need compliance capabilities that detect, prevent and deter non-compliant activities today, and offer the flexibility to meet future regulatory compliance needs. Actimize Brokerage Compliance does just that.
Recognized by industry analysts and deployed at many of the world’s largest financial firms, Actimize Brokerage Compliance solutions enable firms to effectively meet the unique surveillance and supervisory needs of both compliance and business users:
 

Comprehensive compliance solutions for sales and trading practices and control room surveillance across all business lines and products. Provides scenario management for market manipulation and abuse, fair dealings with customers, and insider trading. Includes specific tools for desk supervision and trade reporting practices.

 

Addresses organization-wide compliance across a broad range of retail sales practices relating to Know Your Customer and Suitability requirements. Enables local and regional branch management to effectively delegate supervision across products and provides automated desk supervision with electronic access and sign-off on individual trades. 

 

Provides conflicts of interest and trading fraud detection. Completely automates the submission, review and approval process for employees’ personal trades, gifts, outside business activities and more. Analyzes transactions against rules mapped to the organization’s employee trading policies and procedures.

 

Context-specific solutions to ensure complete compliance with the Markets in Financial Instruments Directive (MiFID). Addresses best execution, suitability, client order handling, transaction reporting and conflicts of interest. 

 

Cross-channel trading compliance solution that processes, analyzes and cross-references information from customer transactions and interactions to meet growing regulatory requirements for monitoring market abuse, insider trading and other regulatory issues.

Financial institutions in every major regulatory jurisdiction of the world have implemented Actimize Brokerage Compliance solutions to meet their growing compliance challenges. Retail and institutional brokerage firms, investment banks, asset and wealth management and correspondent/clearing businesses are able to:
 
  • Meet compliance regulations, initiatives and policies across the Americas, Europe and Asia Pacific
  • Leverage hundreds of established securities-specific models and peer-driven, out-of-the-box rules
  • Increase business efficiency with automated surveillance and streamlined oversight and control
  • Reduce false positives and enable analysts to focus on the highest-risk activities

  • Reduce compliance risk management costs with a flexible data architecture, proven methodologies and user-friendly controls

 

  • Deploy rapidly and meet workflow requirements with customizable detection models, built-in connectors and best-practice implementation methodology

 

  • Leverage industry best-practices from subject matter experts with more than 100 years of combined global experience
Actimize Brokerage Compliance provides best-in-class trading surveillance with:
 
  • Detection of potential non-compliant trading activities across a wide range of products such as equities, fixed income, futures and commodities
  • Sophisticated analytics to comply with global regulations (e.g., AMF, CFTC, FERC, FINRA, FSA, FTC and HKMA)
  • Robust

    toolset to automate trade and portfolio analysis for suitability issues

  • Comprehensive capabilities to mitigate employee conflicts of interest and rogue trading activity
  • Trading compliance blotter allowing electronic review and sign-off on individual trades
  • End-to-end case and workflow management, investigation, audit and reporting capabilities