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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, but may be considerable...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
  • Track and record the distribution of preliminary prospectuses to both clients and non-clients
  • Communicate trading restrictions to sales force
  • Communicate essential dates to sales force
  • Capture deal approval work flow
  • Document storage
  • Compliance reporting for IIROC
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