Pre and Post Trade Compliance

Ensure you meet investor and regulatory requirements through pre and post trade compliance checks, reports, and dashboards. Our flexible design allows appropriately-permissioned users to build their own rule criteria, maintain restricted lists, and approve compliance alerts.

Pre-Trade Compliance

Pre-trade compliance checks seamlessly integrate with the order management module to ensure that orders sent to market are within client-designated risk limits, do not exceed beneficial ownership thresholds, and have passed all user-defined fat-finger checks.

Post-Trade Compliance

View reports of compliance alerts and design your own investor and regulatory reports from the post-trade compliance dashboard.