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Compliance Tools
In a fast-changing global regulatory environment, Pershing's compliance solutions can help you manage risk and stay ahead of the curve.
The Rules Engine™, our proprietary compliance tool that alerts you to suspicious activity in client accounts, enables your firm to set standards for a variety of regulatory, credit, and business issues, and flags orders that exceed your parameters for manual approval. Our systems also feature robust, fully integrated, anti-money laundering (AML) safeguards, including customizable risk-ranking models, meaningful alerts, electronic workflow, and audit trails.
Compliance Tools
- The Rules Engine™ ,our proprietary rules-based compliance system
- AML systems and alerts
- Trade Reporting and Compliance EngineSM (TRACESM) reports
- Items for Attention, notifying you of events, for which no action is required
- Order Audit Trail SystemSM reports for orders entered on the Pershing platform
- Trade Reporting and Compliance EngineSM (TRACESM) reports for orders entered on the Pershing platform or other third-party vendors
Compliance Services
- Quarterly Compliance Forum
- Regular compliance bulletins
- Dedicated specialists to help you address trading and AML issues
- Interactive compliance training sessions
- ComplianceView® - A flexible, user-friendly system to help uncover existing or potential compliance problems
- Alerts on NetExchange Pro® - Monitor and address critical, time-sensitive requests pertaining to clients' accounts using Alert functionality via e-mail, pager, cell phone text messages, or pop-ups
Contact us to discuss how we can support your compliance needs.
Develop reports, remain informed of trade violations, and view information based on your parameters through ComplianceView®.
Pershing understands the nuances of local market conditions, as well as the special requirements governing FINRA-regulated and non-FINRA-regulated firms.