Financial institutions today are under increased pressure to address the requirements of governance, risk, and compliance (GRC) programs, which subsequently introduce new challenges for regulatory and policy compliance in front office operations.
For example, consider the following:
- Compliance with regulatory mandates: SEC, FSA & NASD investment rules
- Complying with investment strategies and client profitability targets
- Managing market and industry exposures in the front office
- Complying with code of ethics , trading rules
- Facilitating audit and examination evidentiary requirement
Addressing the compliance needs of front office trading and portfolio management demands a new style of composite business applications, which facilitates visibility, control, and activity management with real-time exception detection, and integration across heterogeneous information silos, individuals and teams.
Attunity InFocus for Trade and Portfolio Compliance
Attunity InFocus facilitates trade and portfolio compliance by enabling managers to pro-actively detect front-office exceptions, and respond to such situations while providing a detailed audit trail.
With InFocus, users leverage high-impact applications that capture trade and portfolio compliance exceptions, provide seamless access to information from heterogeneous systems, enable “in-context” collaboration, and deliver end-to-end activity management, improving front-office compliance with regulations and policies.
The following diagram depicts the main components of the InFocus solution:
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