Solutions
SMARTCom Solution Suite
Our solution suite provides your compliance team with the tools they need to stay on top of the ongoing challenge of financial trade compliance and regulatory reporting.
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RegSmarts' system provides a scalable, flexible, secure, cross-asset class system at an affordable price.
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Functionality available includes
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Delivering timed or batch trades to regulators. Easy connectivity adapters available to plug onto regulators and financial instruments.
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Operational Controls & Monitoring for trading rules
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Monitoring and escalation for change in trading activity from historical averages
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Dashboard for reviewing up-to-date snapshots
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Auto-generated tracking tickets for user reviews
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Auditor ready views of trade data
- Surveillance for manipulative trade patterns
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Adhoc trade queries with visualization for better analysis
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Data easily available for Analytics and Machine Learning (AI)
Dashboards
User friendly one-stop-shop dashboards provide easy access to
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an at-a-glance up-to-the minute snapshot of trading activity
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review alerts that trigger based on rules as trades are ingested and processed
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pending user reviews and sign-offs
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industry news with team annotations
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shared documents and notes
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Dashboards can be customized to suit client and user roles.
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Monitoring and Controls
Users can
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Monitor in real-time
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Review, Signoff on workflows
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Single place to review trades across clearing brokers
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Create and save adhoc reports
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View reconstructed trades (include integrated IVRs, IMs and uploaded documents)
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Monitor Position Limits, Restricted Trades and Accounts, Best Ex, Market Abuse - Layering, Spoofing
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Dashboards can be customized to suit client and user role ​needs.
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Products & Data
SMARTCom features
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Handles all asset classes - cash, OTC and structured products
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Supports real-time and batch data inflows
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Provides easy adapters to ingest data in any format
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Validates data and routes issues to data quality support team with visibility to users
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Connects to multiple regulatory agencies with their protocols and formats
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Private cloud or in-house install with easy integration into existing trade, reference data and reporting systems.
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Need more details? Contact us
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