Financial Tracking, LLC - The First To Know Company

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	Employee TradeSphere
	Campaign Checks
	Portfolio Compliance
	Insider Trading Detection
	Performance Dispersions
	Fiduciary Risk Monitoring
	Anti-Money Laundering
	Best Execution
	Fair and Timely and Favoritism Checking
	Unusual Activity Alerting
	Safeguard of Client Assets
	Price/Valuation Checking
	Suitability Tracking
	Cross Trades
	Valuation Testing
	Hot Issue Flagging
	Account Dumping
	Trade Profitability
	Window Dressing
	Systemic Risk
	Counter Party Risk
	Portfolio Pumping

The software monitors characteristics of each portfolio, and its constitutive holdings, and alerts when they fall outside of regulatory or investor or manager process and philosophy guidelines, or combination. Guideline categories include the following:

	Groupings and concentrations tests (absolute and relative)
	Security attributes tests
	ERISA and IRS
	Federal securities laws
	Securities allowed/not allowed
	Prohibited transactions with affiliates
	Leverage allowance
	Short positions