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features
design
support

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Description

At first, you may have believed that your company did not require SMCR Software due to its size, but as the one-year grace period comes to a close, it's common to feel overwhelmed by thoughts such as, “Managing annual certification and conduct is going to be a much larger task than we anticipated” or “We’ve used Excel for mapping, but maintaining ongoing reporting and ensuring 100% accuracy is proving to be a challenge.” Rest assured, there's still time to address these concerns—at least for now! We find ourselves in a crucial transitional phase for SMCR, where many firms have finished the mapping process and assigned roles; however, the weight of annual certification and conduct, combined with the pressure to keep all data accurate and consistently updated, is starting to resonate with many clients. With the shift in accountability moving from the firm to the individual, it’s no wonder that the implications of personal liability are weighing heavily on everyone involved. As we navigate these complexities, proactive measures can still make a significant difference.

Description

OtterBlotter serves as a comprehensive tool designed for broker-dealers to facilitate the review of post-trade sales supervision. By employing adjustable trade-review criteria, it effectively identifies potential discrepancies in trades that have been executed, thereby offering a structured quantitative analysis to enhance the qualitative assessments conducted by a firm's supervisory team. Compliance personnel can leverage the flagged concerns for further investigation and generate reports alongside necessary documentation to support supervisory processes. This innovative solution is specifically aimed at analyzing trade blotter information after transactions are completed. Its target users consist of broker-dealers and clearing firms, including those operating in the retail sector, and the system's rules are adaptable to meet various firms' specific review requirements. OtterBlotter is available as a live online platform, enabling teams to efficiently perform post-trade assessments. Notably, while the tool aids in the review process, firms remain accountable for their supervisory judgments and the maintenance of relevant records. This ensures that organizations can customize their supervisory practices while utilizing OtterBlotter for enhanced oversight.

API Access

Has API No 

API Access

Has API No 

Screenshots View All

Screenshots View All

No images available

Integrations

BVNK Yes 
Binderr Yes 
Formalize Yes 

Integrations

BVNK No 
Binderr No 
Formalize No 

Pricing Details

$5,000 per year
Free Trial Yes 
Free Version No 

Pricing Details

No price information available.
Free Trial Yes 
Free Version No 

Deployment

Web-Based Yes 
On-Premises No 
iPhone App No 
iPad App No 
Android App No 
Windows No 
Mac No 
Linux No 
Chromebook No 

Deployment

Web-Based Yes 
On-Premises No 
iPhone App No 
iPad App No 
Android App No 
Windows No 
Mac No 
Linux No 
Chromebook No 

Customer Support

Business Hours Yes 
Live Rep (24/7) Yes 
Online Support Yes 

Customer Support

Business Hours Yes 
Live Rep (24/7) No 
Online Support Yes 

Types of Training

Training Docs Yes 
Webinars Yes 
Live Training (Online) Yes 
In Person Yes 

Types of Training

Training Docs Yes 
Webinars No 
Live Training (Online) Yes 
In Person Yes 

Vendor Details

Company Name

Advance Change

Founded

2009

Country

United Kingdom

Website

actus.co.uk/performance-talent-management-software/actus-comply/

Vendor Details

Company Name

GreenFlow Technology, Inc.

Founded

2009

Country

United States

Website

www.greenflowtech.com

Product Features

Compliance

Archiving & Retention Yes 
Artificial Intelligence (AI) No 
Audit Management Yes 
Compliance Tracking No 
Controls Testing Yes 
Environmental Compliance No 
FDA Compliance No 
HIPAA Compliance No 
ISO Compliance Yes 
Incident Management No 
OSHA Compliance No 
Risk Management Yes 
Sarbanes-Oxley Compliance No 
Surveys & Feedback No 
Version Control Yes 
Workflow / Process Automation No 

Product Features

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