Client Experiences

Efficiency and Cost Reduction:

• 250 person investment advisor reviews xxx trades per month and forgoes adding to staff after purchasing the module and using auto approval
• A 50 person Investment advisor's compliance person is unable to manually reconcile brokerage confirmations against approved trades and perform her CCO activities
• A 30 person IA firm is able to implement the full suite in less than 4 hours
• A 700 person broker dealer save 9 man months by automating the assembly, distribution and follow up on annual affirmations and disclosure
• The same firm is able to perform keyword search to determine if there are conflicts prior to assembling corporate finance teams

Improved Supervision:

• A 30 person IA CCO was able to approve trades on his PDA thus eliminating delays which cost partners significant investment gains
• A 250 person broker dealer uses case management to manage structured communication between research and investment banking
• A 250 person broker dealer / Investment advisor uses auto approval to minimize review time but sets criteria to elevate issues to compliance when certain thresholds are met.

Regulatory Review Ready:

• 1000 person broker deal redistributed its annual questionnaire so that the data could be searchable and available for regulatory review.
• 30 person investment advisor is asked by the SEC to provide a list of all gifts given to a specific client
• A 50 person IA must justify that it is within acceptable limits for gifts to certain organizations

Forensic Surveillance Ready:

• A 200 person broker dealer links to NFS to utilize the Front Running reporting capability to perform post trade analysis
• A 700 person broker dealer utilizes pre trade rules to prevent staff from holding securities for less than 30 days