When it comes to compliance, it’s not just about the data you collect. It’s about the ease in which you can collect it, the flexibility to create and change rules and analytics, and how effectively you can follow up on suspicious trades or violations.
The Envision Clarity Compliance 22(c)-2 Solution, offered in partnership with Celera Systems LLC and ISCorp operates as a fully managed web-based on-demand service combining all aspects of hardware, software, databases, communications, security and support. Accessed by your compliance agents via a secure encrypted web site, you focus on your core business and operational competencies rather than the inherent technology issues assumed when managing systems and technologies in-house. The result is rapid delivery of state-of-the-art 22c-2 compliance capabilities with predictable low costs and near zero administrative overhead.
- View alerts, messages and drill down into a summary of your compliance efforts from a single page.
- Accepts data from any transfer agency or sub-transfer agency system, insurance company or intermediary through NSCC, external feeds or trade portals.
- Takes a risk-based approach to monitoring trading activity so you are able to review high visibility intermediaries.
- Analyzes your imported data based on the business rules you have assigned and calls out trading patterns that violate your pre-defined rules for automated or manual disposition.
- Allows you to create, manage and apply data analytics to your trading policies, quickly, without the need for programmers.
- Captures, assigns tasks and follow-up activities and monitors violations and follow-up activities of your business rules so you know where issue resolution stands at any point of the process.
- Centrally documents your findings and follow-up activities to present your data and findings in a way that can easily be audited and presented to internal compliance and regulatory authorities.
- Provides real-time, online detailed reporting of your review, research, and follow-up activities of potential non-compliance events.
- Clarity is a Software as a Service, so you are able to deploy its tested technology rapidly for your organization.