compliance

TRADING REGULATIONS COMPLIANCE

LIST’s solution to deal with trade regulations provides out-of-the-box compliance with a variety of existing Regulations and a framework for the rapid development and deployment of new rules and compliance logics.

Focus on data quality, validating once and reporting across multiple reguations, incresing the accuracy and limiting complaince and operational risks.

Data Quality
Enforcement
Real-time and Batch
Operation
Multi-tenant
Group Installations
Embedded ETL
for Easy Integration

MARKET ABUSE DETECTION

Data-centric and Behavioral
Detection Patterns
Web Based
Case Management System
Customizable and Localizable
Patterns
Extensive Flexibility
in Pattern Tresholds Tuning

LIST’s solution for market abuse detection offers compliace with MAD II and MAR regulations for Investment Firms and Trading Venues, covering insider trading and market manipulation, both for listed products and OTC.

Reduce the number of false positives withouth limiting the system capability to detect abusive behaviors¬†exploiting LIST’s skills in data management.

mifid ii

LIST offers a comprehensive solution for all the record keeping, monitoring and reporting requirements associated with trading activities under MiFID II regulation, including built-in connectivity to APAs, ARMs and NCAs.

Master the complexity of MiFID II data management thanks to LIST’s innovative compliance framework.

RECORD KEEPING AND TRADE RECONSTRUCTION
TRANSACTION REPORTING AND POST-TRADE TRANSPARENCY
BEST EXECUTION MONITORING AND REPORTING
SISTEMATIC INTERNALIZATION MONITORING AND REPORTING

RISK-BASED APPROACH

Fully Integrated
Legal Inventory
Risk and Control
Assessment
ToD and ToE
Support
Gap and Remediation
Management

Working with a Risk-oriented approach, LIST solution allows the identification of Compliance Risks rising from regulatory fulfillment and affecting business processes. The exposure of each business process/regulatory framework to the compliance risks is evaluated through a flexible, effective module.
Test of Design and Test of Effectiveness are supported to verify key controls adequacy. The Gap and Remediation module is fully integrated with the other components in order to provide users with a central, complete view of each lack and its mitigation actions.

Boost compliance management both for internal and external regulations with our fully customizable solution.

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