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What is FIS Trading Compliance Manager?

The FIS Trading Compliance Manager serves as a comprehensive, web-based tool designed for regulatory surveillance and compliance across various asset classes, specifically tailored to help sell-side financial institutions detect, monitor, and resolve potential trading violations throughout the entire order lifecycle by integrating alerts with rich market and client insights. This cutting-edge platform offers robust trade surveillance, regulatory reporting, and supervisory controls, which support daily assessments, post-trade reviews, best execution evaluations, and compliance with regulations such as RegNMS, RegSHO, and market manipulation laws, while also fulfilling data requests including Electronic Blue Sheets (EBS) and OATS. By creating a centralized, permission-based system, it significantly improves oversight capabilities, mitigates risks, and streamlines manual processes for organizations. Additionally, the platform's capacity to present a comprehensive view of order placements and trading practices, paired with effective alert systems and integrated data storage solutions, enables firms to refine their compliance workflows, enhance the integrity of execution data, improve management reports, and reduce reputational risks throughout their operations. Moreover, this solution plays a crucial role in helping firms navigate the complex terrain of trading compliance, ensuring they remain proactive and well-prepared in an ever-evolving regulatory environment.

What is Control Mapping?

Control Mapping provides sophisticated insights into regulatory controls by perpetually monitoring laws, regulations, and related risks, ensuring they are in sync with applicable policies, standards, and controls. The system pinpoints possible effects, reveals current deficiencies, and speeds up the alignment process. By optimizing the control mapping approach, compliance leaders can convert what previously demanded weeks of manual labor into mere hours, effectively reviewing new regulatory documents to assess which internal controls need attention and which are untouched. This shift not only boosts efficiency but also fortifies the overall compliance framework, leading to a more resilient organizational strategy in navigating regulatory challenges.

Media

Media

Integrations Supported

Additional information not provided

Integrations Supported

Additional information not provided

API Availability

API Availability

Has API

Pricing Information

Pricing not provided

Pricing Information

$0

Supported Platforms

SaaS

Supported Platforms

SaaS

Customer Service / Support

Standard Support
Web-Based Support

Customer Service / Support

Not specified

Training Options

Documentation Hub
Webinars
Online Training

Training Options

Not specified

Company Facts

Organization Name

FIS

Date Founded

1968

Company Location

United States

Company Website

www.fisglobal.com/products/fis-compliance-suite/fis-trading-compliance-manager

Company Facts

Organization Name

Control Mapping

Date Founded

2024

Company Location

United Kingdom

Company Website

controlmapping.com

Categories and Features

Trade Surveillance

Not specified

Categories and Features

Compliance

Artificial Intelligence (AI)
Audit Management
Compliance Tracking
Controls Testing
Risk Management
Version Control
Workflow / Process Automation

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