We offer a fully integrated real-time compliance engine that enables compliance officers to manage and monitor their firm’s ever-changing exposures. Both pre- and post-trade rules can be created using flexible templates maintained in the compliance rules library.
The Buy Side Monitoring Window provides the compliance officer a centralized, real-time management solution to monitor cross asset trading activity and set compliance limits across the entire order flow and at multiple levels across the entity data model.
We understand the importance of having the right compliance systems in place. At TRADINGSCREEN, we're dedicated to helping our clients meeting all their trading and compliance needs to intuitive solutions.
Compliance is available at multiple levels of service and has rules templates that support the following classifications:
Whitelists and blacklists
Limits on position/cash concentrations of the account or entity
Management of gross or net exposures of a portfolio
Enforcement of minimum or maximum holding.