Excellence in Compliance Software for the Financial Services Industry

Achieving compliance at financial services firms requires a serious commitment to excellence at the firm and from your compliance software vendor. Financial Tracking has built its reputation with an unmatched commitment to your regulatory compliance success:

  • IT Security: The company has never had a data breach. Noting the sensitivity of the client data we process, our IT security policies and procedures are designed and developed for maximum data security and to confirm and adheres to standards set by ISO/IEC 27000 series—Information Security Management Systems Standards, ISACA, SSAE 16 and Federal Information Processing Standards (FIPS).
  • Trades and Statements Data input: Employees’ transactions and holdings are received electronically from over 4000+ broker/dealers at which their personal accounts are located through software interfaces with FTT; for those employees with accounts at BDs for which FTT does not have an interface, FTT will manually input transactions and holdings to supplement the automated feeds.
  • Global capabilities: The software serves employees of international client offices. All jurisdictional, time zone and currency issues relating to serving offshore employees are accommodated in the software as well as FTT providing help desk and tech support on a 24/6/365 basis.
  • No costs for data feed setup and management: Clients do not incur a fee for our setting up existing and new software interfaces with BDs nor incur a fee for ongoing maintenance and troubleshooting of the feeds.
  • Widest coverage of broker/dealer data feeds: We have over 60 direct software interfaces with broker/dealers, more than any other vendor, and over 3900 from clearing firms for receiving trade confirms and statement electronically giving clients the most coverage possible through direct feeds. In addition, we offer account aggregation technology to supplement this coverage, if desired.
  • Onboarding Experience: Our staff’s collective onboarding experience includes some 400+ successful client initiatives and 35 data or system conversions, all while associated with FTT. FTT has performed more conversions from competitors’ platforms than any other vendor.
  • Software Development Track Record: Our collective FTT work experience includes over 1800 custom enhancements. We produce approximately 60 custom reports daily. FTT brings to production 2-4 new products or product extensions per year.
  • Client Services Help Desk: We have the lowest help desk representative to clients served ratio in the industry.
  • Service guarantees: FTT contractually commits to financial penalties in its service level agreements for overall system uptime. FTT has never paid a financial penalty due to service issues.