IMTF Enterprise Brokerage Compliance Solution

The IMTF Enterprise Brokerage Compliance solution provides global surveillance, supervision and compliance risk management solutions to detect, prevent, and deter non-compliant activities for Brokerage firms and regulators:

Institutional Surveillance

Comprehensive compliance solutions for sales and trading practices and control room surveillance across all business lines and products. Provides scenario management for market manipulation and abuse, fair dealings with clients and insider trading. Includes specific tools for desk supervision and trade reporting practices.

 

Employee Surveillance

Provides Conflicts of Interest and Trading Fraud detection. Completely automates the submission, review and approval process for employees’ personal trades, gifts, outside business activities and more. Analyzes transactions against rules mapped to the organization’s employee trading policies and procedures.

 

MiFID Surveillance

Context-specific solutions to ensure complete compliance with the Markets in Financial Instruments Directive (MiFID). Addresses best execution, client order handling, transaction reporting and conflicts-of-interest.

 

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