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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
To reduce risks in critical areas of scrap trading, a KYC report is generated and retained for every transaction, which includes the most recent information regarding the company's reputation and trading history. These archived reports can be analyzed for any shifts in data. Typically, buyers refer to the scrap KYC reports as a foundational resource for initiating new agreements. It is advisable to retrieve a report prior to engaging in new trades to verify current trade reputations. This practice proves advantageous, particularly when working alongside another trader. Beyond maintaining a strong visible reputation in the market, the scrap KYC reports offer crucial details concerning payment reliability and integrity. By examining the provided trade data, one can gain valuable insights into a company’s trading activities. The reports not only highlight the total number of trades conducted over the past two years but also indicate the average monthly trading frequency. Additionally, they present an overview of the top five trading partners and furnish a comprehensive breakdown of all trades associated with a company, enhancing the overall understanding of its trading landscape. This thorough analysis enables traders to make more informed decisions based on historical performance and current standings.
API Access
Has API
API Access
Has API
Integrations
No details available.
Integrations
No details available.
Pricing Details
No price information available.
Free Trial
Free Version
Pricing Details
$99 per month
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
Tradefox
Country
The Netherlands
Website
get.tradefox.co