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Compliance Management

Institutions need to address regulatory demands for evidence of systems and controls which are in place to safeguard customers and protect market integrity. With regulations such as Sarbanes Oxley requiring greater corporate governance, new procedures and processes must be introduced to ensure senior management can sign off true positions.

To support these requirements, SmartStream TLM’s workflow capabilities enable the auditable checkpoints and snapshots needed in the transaction process.

SmartStream’s compliance management solutions deliver:

  • Optimised and auditable process control through flexible workflow
  • Reduced risk by ensuring human interaction only occurs at the appropriate point in the process, supporting a compliant sign-off procedure
  • A point-in-time workflow model which can retain account views for any given time on a value date and posted date basis to ensure all back-valued adjustments are auditable

In addition to the rich audit and control capabilities central to every TLM product and solution, SmartStream also produces software solutions to address specific compliance challenges. TLM Client Money provides firms with the visibility and control needed to understand positions, assets and liabilities in order to help reduce operational risk in the client account segregation process.