Your Questions

Risk & Compliance
  • Have any suspicious transactions taken place in a certain account/period of time?
  • Was there any abnormal activity on the account with frequent trading activity?
  • Which of my clients/distributors are located in high-risk countries?
  • Can I monitor account status (compliant/non-compliant) real-time?
  • How do I manage my KYD / Distributor Due Diligence activities
    more efficiently?
  • Can I obtain, store and monitor KYD-linked information electronically?
  • Can I receive predefined alerts/notifications?

Our Solution

Distribution Oversight

Module Functionalities


  • Allows the user to monitor register accounts from a compliance perspective. Transaction monitoring and account compliance monitoring are examples of functionalities grouped into this module.

Benefits


  • Improved distributor/investor monitoring
  • Flexible implementation of internal (compliance)
    and external (regulatory) rules
  • Automation of data capture and monitoring