Automation of audit tasks and limitation of MIFID2 non-compliance risks

Compliance / Risks

The compliance environment has changed a lot. Regulations are becoming more complex which leads to strong constraints in terms of comprehensive and proactive monitoring of the company.

We offer our Call Match suite to answer the following issues:

  • Validate the correct capture of interactions
  • Show record losses
  • Validate compliance of technology resources with MIFID2
  • Customize reports according to compliance needs
  • Validate the internal ethics of non-conflict of interest interactions (Chinese Wall)
  • Validate compliance of interactions
  • Validate the list of regulated users
  • Provide a consolidated report of compliance alarms
  • Customize problem detection
  • Alert the right resource in real time
  • Identify and communicate to the regulator the lack of conformity

Advantages:

  • Greater responsiveness: Involve the right resources at the right time
  • Automation of alerts: Send alarms in real time
  • Increased compliance: Identify and quickly understand anomalies
  • Limit your responsibility: Identify and trace interactions
  • Analytics and reprocessing: One tool for all your needs
  • Flexible and easy to install: Virtual or light physical solution

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