Regulatory Technology Solutions for Financial Services
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Our ComplianceAlpha® regulatory technology software backed by managed services support helps firms build more comprehensive and resilient GRC programs to achieve better outcomes and economies of scale.
Our team includes over 200 former regulators and compliance officers, as well as practitioners in technology and cybersecurity, who lend their real-world experience and subject matter expertise to the development of new features.
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Our GRC technology and managed services solutions include:
- Employee Compliance Solution
Automates surveillance of employees' personal trading activity and centralizes code of ethics/code of conduct management activities.
- Market Abuse Surveillance Solution
Provides in-depth trade surveillance to help firms identify Items of Interest (IOI) and non-compliant trading and investment activity.
- Compliance Management Solution
Provides a governance, risk, and compliance technology platform for effectively and efficiently managing compliance program activities.
- Marketing Review Solution
A complete end-to-end review and approval workflow solutions for marketing materials and financial promotions.
- AML KYC/CIP Solution
Provides automated, ongoing monitoring and managed services to help your firm meet its data screening, ongoing monitoring, remediation, and reporting needs.
- Regulatory Reporting Solution
Provides investment advisers and broker-dealers with a cost-effective, full-service offering designed to help streamline complex reporting requirements, improve data accuracy, and reduce the operational costs related to regulatory filings.
Provides a centralized platform for employee training requirements, from course administration through employee completion.
- eComms Surveillance Solution
Our eComms Surveillance Solution (formerly Catelas) can help your firm detect and mitigate risks effectively and efficiently to protect your business.