Compliance Software for the Financial Control Room

Managing a financial trading control room involves balancing a wide variety of tasks. To comply with stringent rules and regulations, all deals must be carefully reviewed, the flow of information strictly managed, and an overarching focus on preventing conflicts of interest must be a constant. Without effective processes, a single deal can move slowly through the pipeline—and those delays aren’t beneficial for the firm’s bottom line. 

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Control Room Rules & Regulations

With the increased challenges for financial Control Rooms, global regulators continue to pressure firms concerning the flow of confidential information. To manage the flow on confidential information and implement an effective risk control, firms are expected to continue working on the modernization of regulatory, legal and compliance risk management programs. These modern programmes in addition to effective technology can ensure that material non-public information (MNPI) is only available to staff as and when required and does not leak to other parties.

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