Compliance

Streamline internal and external compliance requirements

With VestmarkONE’s automated, exception based compliance rules engine, you can define a rich set of multi-level rules, proactively analyze and manage accounts that are violating rules, and swiftly take corrective action. Whether you need to set up hard trading rules or soft warnings that can be overridden at the user’s discretion, VestmarkONE can be configured to meet your needs. Prove that you are upholding your fiduciary duty, enforce client and regulatory mandates, and apply program, product, or manager-specific compliance rules.

Key Benefits:

  • Evaluate accounts on a pre-trade and post-trade basis against firm defined compliance rules and each client’s investment policy statement
  • Oversee adherence to compliance rules with a dynamic compliance dashboard, detailed audit trails, and reports that provide trade order record keeping in line with SEC requirements
  • Scale your compliance rules across all of your accounts
  • Govern your accounts and intercept breaks with flexible controls and intuitive user dashboards