Average Ratings 0 Ratings
Average Ratings 0 Ratings
Description
The CE Manager delivers precise and current compliance regulations and calculations, enabling organizations to maintain adherence across various jurisdictions, streamline processes, and connect with existing HR solutions and content providers. Recognized as a frontrunner in CLE compliance, CE Manager features an intuitive learning management system (LMS) that fosters learning and growth across the firm. It allows for the customization of learning plans and the provision of on-demand CLE content accessible via mobile devices for both attorneys and clients, thereby enhancing business development. Additionally, CE Manager automates the tracking of compliance requirements, mitigates risks associated with compliance, and ensures meticulous attention to regulatory details. The system can automatically generate compliance reports in the necessary formats, showcasing its reliable technology for managing continuing education and compliance. Furthermore, the user-friendly LMS is tailored to support the development and education of the entire firm, while also enabling the generation of comprehensive compliance reports that demonstrate attorneys' adherence to good standing, ultimately reducing risk and reinforcing the firm's commitment to compliance for clients. In essence, CE Manager not only simplifies compliance management but also contributes significantly to the overall growth and reputation of the firm.
Description
The FIS Trading Compliance Manager is an all-encompassing, web-driven solution for regulatory surveillance and compliance across multiple asset classes, aimed at assisting sell-side financial institutions in identifying, tracking, and addressing possible trading infractions throughout the entire order lifecycle by merging alerts with extensive market and client information. This innovative platform delivers comprehensive trade surveillance, regulatory reporting, and supervisory controls, facilitating daily reviews, post-trade evaluations, best execution assessments, and adherence to regulations such as RegNMS, RegSHO, and market manipulation statutes, while also accommodating data requests like Electronic Blue Sheets (EBS) and OATS. By providing a centralized, permission-based environment, it enhances oversight capabilities, minimizes risk, and reduces manual processes for firms. Furthermore, the system's ability to deliver a holistic perspective on order placements and trading behavior, combined with strong alert mechanisms and integrated data storage, empowers organizations to optimize their compliance workflows, elevate the quality of execution data, bolster management reporting, and diminish reputational risks in the process. Ultimately, this solution is essential for navigating the intricate landscape of trading compliance effectively.
API Access
Has API
API Access
Has API
Integrations
Microsoft Outlook
Pricing Details
No price information available.
Free Trial
Free Version
Pricing Details
No price information available.
Free Trial
Free Version
Deployment
Web-Based
On-Premises
iPhone App
iPad App
Android App
Windows
Mac
Linux
Chromebook
Deployment
Web-Based
On-Premises
iPhone App
iPad App
Android App
Windows
Mac
Linux
Chromebook
Customer Support
Business Hours
Live Rep (24/7)
Online Support
Customer Support
Business Hours
Live Rep (24/7)
Online Support
Types of Training
Training Docs
Webinars
Live Training (Online)
In Person
Types of Training
Training Docs
Webinars
Live Training (Online)
In Person
Vendor Details
Company Name
Litera
Founded
2001
Country
United States
Website
www.litera.com/products/ce-manager
Vendor Details
Company Name
FIS
Founded
1968
Country
United States
Website
www.fisglobal.com/products/fis-compliance-suite/fis-trading-compliance-manager