ComplEye®
Software Solution for Compliance and Trade Surveillance

ComplEye® is a global compliance and trading surveillance system designed to automate identification, monitoring, and reporting transactional activities that violate internal and external compliance rules and standards set by the institution and regulators.

Compliance Coverage includes:

· Anti-Money Laundering (AML)
· USA Patriot Act
· Anti-terrorist provisions
· OFAC compliance and Know-Your-Customer provisions
· Others

Trade Surveillance Coverage includes:

· Front running
· Intra-day manipulations
· Marking to close
· Trading along
· Insider trading
· Others

ComplEye key features:

· Visual Business Rules for test compliance definition
· Integrated compliance data warehouse includes all sources from front, middle, back office, market data & legacy systems
· Online Drill down by any criteria available for analysis and reporting
· Internal institutional rules monitoring
· Concentration and exclusionary tests for any arbitrary segment of a database
· Real time pre-trade review/approval, intra-day and daily
· Work Flow control

Driven by Visual Business Rules, ComplEye can be easily redefined to accommodate any parameters or different limit values. The process of rules definition is straightforward, intuitive and provides a non-intrusive method of integrating existing systems.

ComplEye® generates extensive hard copy and database audit trail for all transactions that produced an exception and provides extensive support for audit archiving and retrieval together with supporting details.

All exceptions are forwarded to the on-line monitoring facility, which distributes the reports on exceptions to the designated locations. Messages can be transmitted, for example, to traders attempting the trade, trading supervisors or directly to compliance and surveillance personnel.