Security & Compliance Standards

Dealer-Controlled Infrastructure

NIAD is implemented directly within your firm’s infrastructure, giving you full control over data access, storage, and security protocols. This approach ensures:

• Data Sovereignty: Your information stays within your environment, aligned with internal IT and compliance policies.
• Custom Security Configurations: Tailor access controls, encryption standards, and audit settings to meet your firm’s unique requirements.
• Minimal External Dependencies: Reduce exposure to third-party risks while maintaining operational continuity.

Secure Dealer Linking via Azure Service Bus

While NIAD runs within your infrastructure, the Dealer Linking module is powered by Azure Service Bus, enabling encrypted, real-time communication between lead underwriters, syndicate members, and selling group participants. Key safeguards include:

• End-to-End Encryption: All data exchanged through Dealer Linking is encrypted in transit and at rest.
• Role-Based Access & Visibility Controls: Ensure only authorized parties can view or act on shared deal data.
• Time-Stamped Audit Trails: Maintain full transparency for compliance and oversight.

Compliance-Ready by Design

• Jurisdictional & Eligibility Controls: Prevent non-compliant orders with built-in checks for insider status, restricted accounts, and regulatory boundaries.
• Prospectus Distribution & Tracking: Automatically send and log Preliminary, Amended, and Final Prospectuses for full disclosure compliance.
• Historical Data Access: Retrieve deal and client order history instantly for audits or regulatory reviews.

Oversight & Risk Management Tools

• Operational Risk Reporting: Generate insights for internal audits, compliance reviews, and executive reporting.
• Smart Notifications: Stay ahead of regulatory deadlines with automated alerts and approval workflows.
• Full Audit Trails: Track every action across Syndication, Sales, and Compliance teams.

Third-Party Security Assurance

NIAD adheres to best practices in cybersecurity governance, including:

• Penetration Testing & Vulnerability Scanning
• Security Awareness & Training Programs
• Supplier & Third-Party Risk Assessments