COMPLIANCE

Why Risk it?
In today's environment, there is an increasing focus on ensuring compliance and minimizing risk.  NIAD designed with features to protect your clients, your investment advisors and your business.  The costs related to a breach in compliance are difficult to measure...why risk it?

Reduce Risk of Fines:
Reduce internal factor risk by effectively prioritizing, assessing, monitoring and managing business requirements

Compliance Features:

Audit trails contain time and date stamps on all order activity

Enable account restrictions for pro ticketing, jurisdiction, trade indicator, and eligibility

Communicate trading restrictions to sales force

Communicate essential dates to sales force

Capture deal approval work flow

Document storage

Compliance reporting for IIROC