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Average Ratings 0 Ratings

Total
ease
features
design
support

No User Reviews. Be the first to provide a review:

Write a Review

Description

Easily establish uniformity and dependability in your transaction oversight with CMC:TradeS, which automates price monitoring for a diverse array of securities including repo and lending, commodities, money market instruments, foreign exchange, and both listed and OTC derivatives for proprietary, customer, or staff trading. It offers a comprehensive suite of checking methods applicable across all venues and asset classes, complete with adaptable configurations. Monitoring is available at the asset class, business unit, and management levels, coupled with advanced research and drill-down capabilities. The system ensures tamper-proof documentation of every processing activity, allowing for trustworthy transaction oversight across all departments. Customizable rules enhance the automated monitoring process, while numerous additional research and reporting tools are at your disposal. Parameters can be adjusted for intuitive and straightforward configuration tailored to your specific needs. Moreover, the integrated and standardized processing along with workflow management streamline your daily operations, enabling swift and effective handling of routine tasks. This comprehensive solution not only improves efficiency but also enhances the overall accuracy of transaction monitoring, making it an invaluable asset for any organization.

Description

The FIS Trading Compliance Manager is an all-encompassing, web-driven solution for regulatory surveillance and compliance across multiple asset classes, aimed at assisting sell-side financial institutions in identifying, tracking, and addressing possible trading infractions throughout the entire order lifecycle by merging alerts with extensive market and client information. This innovative platform delivers comprehensive trade surveillance, regulatory reporting, and supervisory controls, facilitating daily reviews, post-trade evaluations, best execution assessments, and adherence to regulations such as RegNMS, RegSHO, and market manipulation statutes, while also accommodating data requests like Electronic Blue Sheets (EBS) and OATS. By providing a centralized, permission-based environment, it enhances oversight capabilities, minimizes risk, and reduces manual processes for firms. Furthermore, the system's ability to deliver a holistic perspective on order placements and trading behavior, combined with strong alert mechanisms and integrated data storage, empowers organizations to optimize their compliance workflows, elevate the quality of execution data, bolster management reporting, and diminish reputational risks in the process. Ultimately, this solution is essential for navigating the intricate landscape of trading compliance effectively.

API Access

Has API No 

API Access

Has API No 

Screenshots View All

Screenshots View All

Integrations

No details available.

Integrations

No details available.

Pricing Details

Annual recurring licence model or perpetual once-off with maintanance
Free Trial No 
Free Version No 

Pricing Details

No price information available.
Free Trial No 
Free Version No 

Deployment

Web-Based Yes 
On-Premises No 
iPhone App No 
iPad App No 
Android App No 
Windows Yes 
Mac Yes 
Linux No 
Chromebook No 

Deployment

Web-Based Yes 
On-Premises No 
iPhone App No 
iPad App No 
Android App No 
Windows No 
Mac No 
Linux No 
Chromebook No 

Customer Support

Business Hours Yes 
Live Rep (24/7) No 
Online Support No 

Customer Support

Business Hours Yes 
Live Rep (24/7) No 
Online Support Yes 

Types of Training

Training Docs Yes 
Webinars Yes 
Live Training (Online) Yes 
In Person Yes 

Types of Training

Training Docs Yes 
Webinars Yes 
Live Training (Online) Yes 
In Person No 

Vendor Details

Company Name

B-next

Founded

1989

Country

Germany

Website

www.b-next.com/solutions/modules/cmc-trades/

Vendor Details

Company Name

FIS

Founded

1968

Country

United States

Website

www.fisglobal.com/products/fis-compliance-suite/fis-trading-compliance-manager

Product Features

Compliance

Archiving & Retention Yes 
Artificial Intelligence (AI) No 
Audit Management Yes 
Compliance Tracking No 
Controls Testing Yes 
Environmental Compliance No 
FDA Compliance No 
HIPAA Compliance No 
ISO Compliance No 
Incident Management No 
OSHA Compliance No 
Risk Management Yes 
Sarbanes-Oxley Compliance No 
Surveys & Feedback No 
Version Control No 
Workflow / Process Automation No 

Product Features

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