Need to Improve Compliance Checking, Workflow and Audit Trails with Automated and Affordable Solutions?

Whether a broker/dealer or federally registered money manager, many in compliance are still relying on outdated tools and manual processes such as spreadsheets or mock exams for compliance.  These methods may be providing a false sense of security against the new regulatory data driven exams and exam frequency. It’s more important than ever to have a comprehensive and more automated approach to compliance.

This demo provides a detailed review of Financial Tracking’s all-in-one compliance platform that is user friendly, affordable and easy to implement.  The following compliance modules will be discussed:

For Money Managers and Broker Dealers

  • Employee TradeSphere
  • Campaign Checks (pay-to-play)
  • Insider Trading Detection Based on Issuer Events
  • ComplianceWorkstation365 with Guidance and Audit Stamps
  • Unusual Activity Alerts on User Defined Data
  • AML Detection with Alerts and KYC Database

Additionally for Money Managers

  • Counter-Party Risk
  • Client Portfolio/Fund Compliance (T+1)
  • Investment Operations with Rules Engine and Alerts:
    •         Best Ex for most security types
    •         Account Dumping
    •         Performance/Holdings Dispersions
    •         Global Regulatory Filing Warnings and Alerts Based on Holdings
    •         Trading Allocation Verification and Favoritism Alerts
    •         Trade Parking and Spoofing
    •         Cross Trades Alerts 

Additionally for Broker Dealers

  • Suitability
  • Fiduciary Compliance


Date:                   Thursday, June 23, 2016

Time:                  1:00 PM EDT

Duration:          1 hour 


Who should attend?

  • CEOs, Chief Compliance Officers and senior executives responsible for creating, funding and managing compliance policy and procedures
  • CFOs and IT executives searching for a compliance solution covering one, many or all areas of compliance 

What you will take away:

  • How the modules work and which pricing package is best for your firm
  • Online tools you can use to self-evaluate current compliance risk and potential cost savings from compliance automation
  • How to make the budget case to the C-suite for compliance automation

Financial Tracking offers the most comprehensive all in one compliance platform built with a modular architecture for buy- and sell-side firms, other financial intermediaries and public companies worldwide. We rank first in automated compliance solutions that enable regulatory protection and operating cost cutting and serve the most clients. Clients include regulators, broker-dealers, mutual funds, money managers, hedge funds and public companies. FTT has earned the trust and commitment from some of the world’s most renowned, top tier clients who have found FTT’s patented compliance technology to exceed the performance of our competitors.