Trade Monitoring

Clarity Compliance 22c-2 Solution

THE ONE INSURANCE POLICY YOU MUST HAVE

The Clarity Compliance 22c-2 Solution operates as a fully managed web-based on-demand service combining all aspects of hardware, software, databases, communications, security and support. Accessed by your compliance agents via a secure encrypted web site, you focus on your core business and operational competencies rather than the inherent technology issues assumed when managing systems and technologies in-house. The result is rapid delivery of state-of-the-art 22c-2 compliance capabilities with predictable low costs and near zero administrative overhead. When it comes to compliance, it is not just about the data you collect. It is about the ease in which you can collect it, the flexibility to create and change rules and analytics, and how effectively you can follow up on suspicious trades or violations.

Clarity Compliance 22c-2 Solution

THE CLARITY TRADE MONITORING PLATFORM

On Demand

Clarity Compliance is an on-demand service that you access through the internet.

Application Hosting and Security

The Clarity Compliance application and technology is monitored 24 X 7 to ensure no disruption to business.

Data Security

A multi-layer data security architecture using full encryption on sensitive data works in unison to ensure your customer’s data is protected through the entire information processing lifecycle.

Data Imports

Accepts data from any transfer agency or sub-transfer agency system, insurance company, or intermediary either through NSCC, external feeds, or trade portals.

Customized Business Rules

Template-driven business rules allow you to create trading rules built on individual fund and corporate -specific policies.

Business Event Monitoring

Activity monitoring based upon percentage of a trade to assets, trading patterns or trade frequency provide a risked-based approach to compliance.

Case Management

Capture, communicate, and centrally document violations and their research efforts.

Executive Dash Boards

Alerts and messages allow compliance personnel to drill down into summaries of compliance efforts from a single page.

Business Reporting

Real-time, online reporting that provides you the relevant detailed information needed to document, review and research your efforts of potential non-compliance events and activities.

Data Analytics

Analyze your imported data using template-driven business rules you create. Trading patterns that violate your pre-defined rules will be called to your attention for disposition.

HOW DOES YOUR ORGANIZATION BENEFIT?

Clarity Compliance allows you to create a more efficient operating model while simultaneously reducing risk, and increasing intermediary oversight.

  • A Comprehensive Audit Trail. Capture your findings and activities in one central location to present your data and results in a way that can easily be audited by internal compliance and regulatory authorities.
  • Your Needs – Our Experts. Our business experts take on all aspects of interacting with intermediaries who distribute your funds so you don’t have to. We establish the data feeds and ensure your data requests are fulfilled.
  • Business Support. We make sure that any system enhancement, whether initiated by you or someone else, is managed, programmed and tested, using the highest standards known in the industry.
  • Application Support and Maintenance. You benefit from using a system we support, upgrade and maintain. There is no need for you to use your valuable technology resources on these efforts.
  • Data Interfaces. We take care to design, create and produce a flexible system that will fit your needs. Each external data interface has been designed to be a pluggable component. New data interfaces are easily created and integrated into the core system with little or no impact.
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