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compliance

Compliance Functions

With the advent of increased regulation and accountability within the banking environment, the role of today's compliance department has become critical. Many of the functions placed upon the compliance department now require a systematic approach ever increasingly requiring an IT solution.

  • trading monitoring for market surveillance
  • implementation of 3rd party surveillance tools e.g. Actimize
  • account opening and approval administration
  • registration administration
  • disclosure tracking
  • compliance manual publication
  • personal account trade authorisation
  • stop/restricted/watch list administration
  • sanction list checking

    Complisense can help you address these issues.