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Compliance

Are You on Top of Your Compliance Concerns?

We are.

In today’s rapidly changing and complex investment environment, compliance is critical. Through its Eze OMS functionality, ConvergEx lets investment managers and compliance officers monitor trading and compliance checks in real time throughout the day—not just at day’s end. Eze Compliance is a business-wide solution that addresses both your pre- and post-trade compliance needs.

A Complete Compliance Application.

Pre-Trade Compliance — Eze Compliance enables your important pre-compliance checks to run automatically at the creation and allocation of an order. Eze Compliance will run the check, store the compliance data history, and send back a message to alert you that the order is either compliant or in violation.

Post-Trade Compliance — Eze Compliance acts as a safety net that captures any violations that are not apparent during the pre-trade compliance check. It allows you to immediately assess the impact of events such as corporate actions, market creep and changes to the security master data on the firm's compliance results. You can run this check at any point during the day to avoid violations.

Pre-defined and Custom Rules — Eze Compliance includes a library of industry-standard rules and rule templates. Or you can easily set up and apply your own rules across single or multiple accounts.

To learn more about Eze OMS Compliance functionality, please call 646-346-1140 or email us at [email protected].

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