eComplianceeCompliance Software
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Related Products
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About
FIS Trading Compliance Manager is a multi-asset, web-based regulatory surveillance and compliance solution designed to help sell-side financial firms detect, monitor, and manage potential trading violations throughout the full order lifecycle by combining alerts with comprehensive market and client data. It provides end-to-end trade surveillance, regulatory reporting, and supervisory controls to support daily review, post-trade analysis, best execution monitoring, and compliance with standards like RegNMS, RegSHO, market manipulation rules, and data requests such as Electronic Blue Sheets (EBS) and OATS, all from a unified, permission-controlled platform that enhances oversight while reducing risk and manual effort. By offering a complete view of orders and trading activity, robust alerting, and integrated data warehousing, the system helps firms streamline compliance workflows, improve execution data quality, support management reporting, and mitigate reputational risk.
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About
Compliance is a necessary factor that protects a company from policy violations which can cost considerable reputational damage and high financial penalties to the organization. Statutory compliance management facilitates the management of the various compliance documents & renewal of the respective documents with notification, in a user-friendly manner. The notification about compliance, alerts and reminders will be sent through SMS and Email to the responsible users and to the relevant persons (escalation persons and other users) for compliance.
E-compliance software application allows organizations to standardize compliance processes to avoid the risk of non-compliance. It enables users to schedule recurring compliances in a single unified web-based /cloud-enabled platform for easy execution. With this digital platform, businesses can easily handle multiple regulatory compliances, configure the prerequisites for effective regulatory compliance management
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Platforms Supported
Windows
Mac
Linux
Cloud
On-Premises
iPhone
iPad
Android
Chromebook
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Platforms Supported
Windows
Mac
Linux
Cloud
On-Premises
iPhone
iPad
Android
Chromebook
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Audience
Compliance officers and trading supervision teams who need a comprehensive platform to monitor trading activity, enforce regulatory rules, and manage trade compliance
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Audience
Manufacturing Industries, Educational Institutions, Health Care Industry, Hospitality Sector, Service Sector
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Support
Phone Support
24/7 Live Support
Online
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Support
Phone Support
24/7 Live Support
Online
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API
Offers API
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API
Offers API
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Screenshots and Videos |
Screenshots and VideosNo images available
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Pricing
No information available.
Free Version
Free Trial
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Pricing
No information available.
Free Version
Free Trial
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Reviews/
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Reviews/
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Training
Documentation
Webinars
Live Online
In Person
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Training
Documentation
Webinars
Live Online
In Person
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Company InformationFIS
Founded: 1968
United States
www.fisglobal.com/products/fis-compliance-suite/fis-trading-compliance-manager
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Company InformationeCompliance Software
Founded: 2002
India
www.ecompliancesoftware.in
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Categories |
Categories |
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Integrations
No info available.
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Integrations
No info available.
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