Securities Solutions

Succeeding in the securities industry starts by managing the ever-increasing regulations, compliance requirements, and government scrutiny. We provide regulatory intelligence, policy management, process management, and oversight to help you better manage your compliance and corporate action needs.

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Solutions

• Compliance Programs Management—powerful web-based tools for Broker-Dealers, Investment Advisors, and Hedge Fund Managers that aid in the organizational communications and set the tone for a strong compliance program



• Corporate Actions—solutions to provide comprehensive coverage of U.S. and international corporate actions, focusing on the federal tax analysis of those actions.



• Cost Basis Reporting—compliance solutions automating cost basis calculation and reporting processes to meet the requirements of the cost basis reporting law, enacted as part of the Emergency Economic Stabilization Act of 2008.



• Financial Crime Control—When a continuous and comprehensive monitoring of transactions and employee behavior is needed which can quickly and accurately recognize money laundering and fraudulent activity.



• Examiner—Monitoring and Oversight—automates the surveillance process and enables your firm’s compliance department to effectively monitor all aspects of your employees’ personal trading activities, gifts and entertainment, and code of ethics



• Regulatory Research—a single point of reference for securities news, commentary and analysis. With all the compliance rulebooks and references you need, available online or in print



• Tax Lot Accounting—award-winning solution automating calculation of capital gains/losses, cost basis, wash sales & corporate actions; generates reports, including Schedule D; and, facilitates sophisticated trading strategies, such as tax loss harvesting.