The Challenge

A successful broker dealer wanted to improve their efficiency when determining the applicability of Dodd-Frank rules with counterparties.

The Solution

We provided our client with an advanced compliance engine, enhanced to capture in-house counterparty attributes. This engine was integrated with their existing capture and reporting systems to ensure real-time checks and post-trade monitoring.

The Result

We helped our client reduce their IT and middle-office costs by $2.5M by automating and increasing the reliability on their regulatory rules validation software.

Next:

Violation Reporting

Products:

Compliance