The New Compliance Platform | Financial Compliance

In coronavirus condition and are you arranged to guarantee complete consistence going advances, considering future administrative necessities combined with home office capacities? In order to ensure robust compliance in situations like the one we are facing today financial institutions must consider how to achieve breadth in terms of the asset classes under communication surveillance while simultaneously maintaining the flexibility to adjust rules and alerts in accordance with changing market conditions. The accompanying records a few contemplation a money related establishment ought to consider while checking on current tasks for MAR consistence.

Efficient Compliance Surveillance across different Financial Instruments


Ensure fixed income coverage for both liquid and illiquid instruments

All fixed income products (including cash and derivatives) falls under MAR surveillance and are subject to Compliance surveillance. Alternative detection models, therefore, must be applied.

Ensure OTC coverage

OTC instruments are traded through broker-dealer networks price developments in these instruments are influential on exchange-traded instruments. This opens the door for potential market abuse. Hence MAR requires systematic surveillance of OTCs traded through broker-dealer networks.

Consider FX coverage

With FX derivatives already covered by MAR, ESMA is keen on including FX spot going forwards.



Flexibility and adaptability to changing environments and business model development

  • The ability to easily navigate a vast surveillance rules library and turn rules on/off as appropriate given the circumstances
  • Freedom to change rule thresholds and adjust them to asset class liquidity levels to match surveillance efforts with your business model


Managing and reviewing personal employee trading

  1. The ability to automate employee personal account dealings as appropriate
  2. Dynamic reconciliation and storage of employee brokerage accounts


Flexible SaaS solution accessible in the cloud

1. Managed Services in the cloud

Monetary organizations need to get to innovation and expend benefits rapidly without expecting to manufacture and keep up physical IT framework or secure topic aptitude in every application or innovation stack. Overseen Services in the cloud are less exorbitant as well as more open even in unfriendly conditions.

2. The ability to conduct remote installations and upgrades

It has never been more obvious that on-premise consistence programming brings along noteworthy dangers. The capacity to lead far off establishments and updates is turning into a prerequisite to guarantee that the product supporting consistence controls can be conveyed in a situation of directing business from home.

If you want to learn on how your future MAR surveillance can look like reach out FIS. To know abow about Financial Compliance visit - https://compliancevolution.com/


Location: Israel

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