The ccompliance solutions will consist of pre-trade compliance, post-trade compliance, enforcement of client-specific restrictions and guardrails across discretionary and non-discretionary advisory programs.
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In order to avoid errors and unintended trades before they happen, VestmarkONE’s scalable compliance engine evaluates a broad range of compliance rules and client restrictions in real-time on a pre-trade basis.
The evaluation also includes detailed audit trails to confirm adherence to all compliance policies and rules, and ongoing monitoring of compliance rules on a post-trade basis.
Regarding the launch, Rob Klapprodt, president of Vestmark remarked "Due to unique scalability and functionality requirements, broker-dealers, banks, RIAs and other wealth managers have had limited compliance capabilities across their fee-based business lines."
"With the fee-based compliance solutions of VestmarkONE, firms can confidently grow their fee-based advisory business without unnecessarily increasing operating risk," he added.
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By GlobalDataThe offerings of VestmarkONE includes pre-trade compliance and restriction evaluation, post-trade compliance monitoring & alerting, "guardrails" for advisor as portfolio manager, management of client restrictions, model portfolio compliance checks, centralized monitoring and alerting for the home office, oats data capture and SEC-compliant trade recordkeeping.
