Providing the confidence your firm needs by automating employee personal trading activities
Examiner is leading-edge software that monitors your employees’ personal trading activities. It automates the surveillance process allowing for online preclearance, certification, automated rules testing, automating confirm matching, data imports and extensive reporting outputs. By reducing manual processes, this powerful solution provides added confidence that your firm is complying with industry regulations, including SEC Rule 17j-1 and 204A-1.
Key Software Highlights
- Monitors and tracks employee trading
- Imports confirms directly into the system
- Offers standard and custom certifications
- Easily integrates with any trade order management system for real-time testing
- Provides more than a thousand reporting combinations and output
- Allows for multi-tiered approval processing to meet the needs of broker-dealers
Features and Benefits
- User-Friendly Pre-Clearance Interface—Employees can easily request permission to trade through our browser-based pre-clearance form. The system automatically tests the request against the firm’s code of ethics rules.
- Supervisory Review Utility—The Examiner platform enables multi-tiered approvals to meet the requirements of many broker-dealers.
- Flexible and Real-Time Rules Testing—Built-in rules meet regulatory requirements such as SEC Rule 17j-1 and 204A-1. Additional custom rules can be added to meet your unique requirements.
- Automated Confirm and Holdings Processing—Automated import, reconciliation, and testing processes eliminate the manual and tedious procedures typically associated with receiving, reviewing, and archiving trade confirmations.
- Initial, Quarterly, and Annual Certifications—Built-in on-line certifications include holdings, transactions, brokerage accounts, and code of ethics as well as initial certifications. Custom certifications that track transactions and events can also be generated.
- Automatic Memo Distribution—eMemo features provide a quick and effective way for managers to communicate with clients. Manual or automatic 407 letters can also easily be generated when a new brokerage account is entered into the system.
- Robust Reporting Capabilities—Comprehensive reporting capabilities allow compliance staff to capture and present critical historical data in suitable formats for internal or auditor review. Analytic reports allow users to do rule testing and look for patterns of questionable behavior.
- Industry-Leading Technology—Our technology is based on a standard Microsoft®.NET architecture and SQL Server database. The system can receive data feeds from all major trading systems, portfolio accounting systems, and human resources databases.
- World-Class Service and Support—Examiner provides hands-on support both during and after the implementation process and we host an annual user conference that allows our clients to learn and exchange information with other Examiner clients.
To learn more, please contact us by email or call us at 212.894.8691 (from USA) and 0800 6300 613 (from the UK).