Built for fırms under pressure
Small and mid-sized broker-dealers face more enforcement actions per capita, mainly due to limited compliance infrastructure. Knowtice provides the tools to ease regulatory pressure and withstand heightened scrutiny.
We turned gaps in the industry into a product line that no one else has:
A fully-loaded broker-dealer framework
Comply the Knowtice way!
Is your firm able to…
…monitor trades, securities transfers and fund movements in one AML system?
…utilize relevant post-trade surveillance exception reports at a reasonable cost?
…review and approve marketing communications in one transparent, centralized location?
…systematically examine all employee trading in outside accounts for conflicts of interest?
…create proprietary, relevant blotters and reconcile trade and order data received from multiple vendors?
