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 regulations, increasing the accuracy and limiting compliance 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
Thresholds Tuning

LIST’s solution for market abuse detection offers compliance 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 without 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

SFTR

Record keeping
and
transaction
reporting
Support trade
Life cycle
Rule engine
for eligibility
Pre send
validation rules

LIST offers a solution to cover the transparency requirements of the SFTR regulation and the complete trade life cycle in an independent way from the front office, including rule engine for eligibility and built-in connectivity to TRs.

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

RISK-BASED APPROACH

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.

FULLY INTEGRATED
LEGAL
INVENTORY
RISK AND
CONTROL
ASSESSMENT
TOD AND
TOE
SUPPORT
GAP AND
REMEDIATION
MANAGEMENT

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