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Average Ratings 0 Ratings
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.
Description
For firms regulated by the SEC or FINRA, maintaining compliance is essential for operational continuity, yet it often imposes financial strain. ComplianceGuardian™ integrates top-tier compliance software with the most current expert insights, education, and consulting services to ensure your firm meets compliance requirements today and adapts to evolving regulations. The powerful ComplianceGuardian™ software platform is crafted and consistently updated by a team of highly experienced compliance specialists. With backgrounds in both the private sector and regulatory organizations, these professionals effectively connect your organizational objectives with necessary regulatory standards, aiding companies like yours in staying compliant with reduced disruption to operations. Moreover, these experts are readily available to assist you, providing support whenever needed, although you have the option to work independently if preferred. Businesses of all sizes rely on ComplianceGuardian™ to address their fundamental compliance needs efficiently and comprehensively. This partnership not only enhances compliance but also fosters confidence in navigating the complex regulatory landscape.
API Access
Has API
API Access
Has API
Integrations
Firco Trust
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
FIS
Founded
1968
Country
United States
Website
www.fisglobal.com/products/fis-compliance-suite/fis-trading-compliance-manager
Vendor Details
Company Name
National Regulatory Services
Founded
1984
Country
United States
Website
nrs-inc.com
Product Features
Product Features
Compliance
Archiving & Retention
Artificial Intelligence (AI)
Audit Management
Compliance Tracking
Controls Testing
Environmental Compliance
FDA Compliance
HIPAA Compliance
ISO Compliance
Incident Management
OSHA Compliance
Risk Management
Sarbanes-Oxley Compliance
Surveys & Feedback
Version Control
Workflow / Process Automation