Average Ratings 0 Ratings
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
Ruleguard stands out as a premier RegTech solution that enables financial services organizations to enhance their risk and compliance workflows. By integrating cutting-edge technology with comprehensive regulatory knowledge, Ruleguard assists firms in navigating their responsibilities within intricate frameworks like CASS, SM&CR, financial crime regulations, and expansive risk and compliance requirements. Built for both flexibility and growth, Ruleguard provides ready-to-use solutions that help eliminate operational inefficiencies, reduce risk exposure, and adapt to the constantly changing landscape of regulatory demands. The platform features an easy-to-use interface that allows organizations to consolidate compliance processes, automate essential tasks, and derive valuable insights, which ultimately leads to significant savings in time and resources during audits and regulatory submissions. Additionally, Ruleguard's commitment to continuous improvement ensures that firms remain ahead of the curve in their compliance efforts.
API Access
Has API
API Access
Has API
Integrations
CourseStorm
Tecnomatix
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
Ruleguard
Founded
2013
Country
United Kingdom
Website
www.ruleguard.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