Financial Tracking Enhances its Mutual Fund Compliance Offerings

Updated: June 22, 2009

Version 5.0 offers several enhancements ala carte, such as window dressing, portfolio pumping, pricing and valuation alerts, portfolio process compliance vs. regulatory and manager philosophy guidelines, risk pricing alerts, and favoritism detection of investment idea allocations. It also includes automated counter-party risk alerts and fixed-income best execution analysis and alerts for corporate, government, municipal, and convertible securities. It's also available for client-side hardware installation, according to the company, in addition to the traditional web-based offering. In either configuration, the compliance module can be activated within seconds by the software administrator. An on-demand entitlements feature further expands client choice for automated compliance monitoring, analysis, and alerting in not only portfolio compliance, but also employee personal trading and performance dispersions. The company's modules are all focused on automated trades and holdings analyses.

This latest version is the most comprehensive engineering enhancement for mutual fund compliance so far, according to Financial Tracking. Modular functionality provides users with a menu of options so that you're only paying for what you use.

Detection of misuse of material non-public information gained from relationships and front-running markets are additional options. Financial Tracking's IT group worked with clients and prospects to find other ways to reduce compliance costs and fiduciary risks through automation—reflecting the industry's increasing regulatory scrutiny and need for immediate knowledge of compliance issues before it's too late.

Featured Research
  • 16 Mistakes to Avoid When Buying a Phone System

    Purchasing a phone system for your business is a major investment. With the average business changing phone systems only once every seven years, it’s important to make the right decision. more

  • 2017 Video Conferencing Trends

    New advancements are also making video more beneficial to a greater range of business areas including marketing, HR, and internal operations. Many solutions are economical, easy to use, and very effective at making communication more personal. more

  • [Infographic] Top 11 VoIP Vendors

    A good VoIP provider will offer additional benefits as well, but many first-time buyers find assessing each option to be difficult. Nevertheless, this is an important step in the buying process because a substandard provider can easily waste both your time and money. more

  • Work Smarter Not Harder with Business Intelligence

    While this may have been true at one time, the days of BI requiring a dedicated team of experts to implement are over. Self-service solutions are making it possible for everyone, including small, local businesses, to easily implement BI in their decision making process. more

  • Best Practices for Contact Center Quality Assurance

    A contact center often brings about a prospect’s first real-time interaction with your company. As such, if it’s not a positive one, they’ll likely look elsewhere for help. With 69% of Americans more inclined to recommend a company to friends and family after a positive customer service experience, you’ll need to exceed expectations on the following fronts. more