In today’s rapidly changing and complex investment environment, compliance is critical.

As the stakes are simply too high to be complacent, and the regulators are demanding the best compliance and risk controls. Forward-thinking financial services firms have found that compliance software specifically designed for their company type and size can increase organization, efficiency and productivity, whilst reducing regulatory and reputation risk.

MoneyWare^TM eCompliance is a browser based application that helps the Compliance Officer to monitor and document employee's investment trading activities and industry certifications. The system can be tightly integrated with any Investment Management System for any trade verification of specific assets or instruments, thus complying to insider trading guidelines and regulatory norms.

Intuitive, easy to use Compliance and Investigation Management Software.

MoneyWare^TM eCompliance is used to monitor employee personal investment and trading activites in order to ensure compliance with all internal rules and regulatory guidelines, for example, holding periods and intra trading etc. Watch lists and restricted lists are administered within MoneyWare^TM eCompliance.

Investigate following Violations

• Restricted List violations
• Pre-Clearance Reconciliations
• Holding Period Violations
• Front running violations

The violations are recorded in the system along with reasoning and an auditable history established. An employee has the option of clarifying a post trade violation using the investigation option. Unobjectionable queries are automatically approved, while critical queries are reviewed by the compliance officer. The employee can then follow the status of his query at any time through the web client.

Ad hoc queries list trades that were settled in close chronological proximity to pre-clearance. Flexible reporting supplements standardized analyses by providing an option to make unique assessments of trades and holdings. This could be helpful, for example, if the compliance officer would like to know who traded in certain securities within a defined period of time, or who has the largest holdings of certain securities at a certain point in time.

The compliance officer can redefine and revise rules as needed in order to comply with current regulations and internal guidelines.

Improved retrieval time : Obtaining paper from storage or an archive is typically slower than electronic retrieval of documentation. Along with the improved retrieval time comes the ability to perform searches for similar information.

Scalable : MoneyWare^TM’s n-tier architecture leverages industry-standard and state-of- the-art technologies to maximize performance, flexibility, and scalability.

Rapid Deployment : MoneyWare^TM eCompliance enables rapid implementation of enterprise deployments.

Integration : Easily integrates with existing applications (HR & Intranet Solutions, Active Directory Services) and data sources