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Compliance Modules offered a la carte:
Automated employee trade monitoring, online certifications and pre-clearance Learn More
Portfolio compliance checking versus investment policy or mandate or securities' laws, or combination Learn More
Performance dispersions checking Learn More
Fiduciary accounts and risk management monitoring Learn More
Anti-money laundering Learn More
Best execution Learn More
Fair and timely trade allocation and favoritism checking Learn More
Excessive activity alerts Learn More
Price/valuation: validation of process and procedures Learn More
Account activity patterns Learn More

 

 

 

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