Trading ServicesCompliance

Our Compliance product is a comprehensive due diligence solution that enables buyside firms to distribute a survey to their service providers and counterparties and track their responses.

Customers

  • Asset managers
  • |
  • Hedge funds
  • |
  • Pension funds

Statistics

  • 3,500+research providers and venues
  • 10years activity maintained on system

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Product summary

Due to an increase in regulatory requirements, buyside firms have a growing need to implement a formalised process for assessing counterparty relationships and understanding their business processes.
Our Compliance product allows buyside firms to manage their counterparty relationships by identifying policies, procedures and attestations in a consolidated environment. Counterparties only need to respond once on behalf of all their relationships, encouraging a timely response for buyside review.

    Key Benefits

    • Automated response tracking

      Counterparties’ responses are tracked in a consolidated environment allowing for timely review

    • Historical record

      Allows buyside firms to keep record of counterparties’ compliance, research and trading policies

    • Dashboard view

      In the event of a regulatory review, clients can easily determine the compliance status of their participating counterparties

    • Efficient

      Counterparties only answer or attest to a survey once for it to be used by all buyside relationships

    • Flexible

      Adaptable to changing regulation through annual revisions to survey questions. Customers can easily edit surveys for up to date compliance validation

    • Secure

      Central storage of internal documents and meeting notes regarding compliance processes for secure use

    • Contact records

      Maintains contact information and detailed profiles of all the firm’s counterparties

    • Holistic solution

      Eliminates the need to maintain an internal process for assessing counterparty relationships, which can be laborious and time consuming