Compliance Wise - Australian Stockbroker Compliance

These are times of unprecedented change in the Australian market. New execution venues, enhanced compliance obligations and a new regulatory environment call for technology that is on par with these requirements. Compliance Wise 2.0 ("CW") will bridge this gap and become the first technology platform geared exclusively at the stock broking compliance.


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One-window Compliance Management

Compliance Wise 2.0 ("CW") is being engineered so as to allow a one-window view across all compliance events and actionable tasks such as authorisations.


Paper free authorisation workflow

CW will aim to unify and streamline compliance functions with sophisticated workflow functionality. For example, a client service operator or IT personnel could create a request to increase client limit. This would appear in the Compliance Managers view. Once approved, the limit will be increased automatically in IRESS. All these changes will be appropriately audited in the CW database.


Sophisticated search and ASIC reporting

CW will be able to perform very fast and accurate searches for orders and trades and augment this information with rich compliance event data from the CW database. This information will be used to produce reports in Excel or PDF formats.


Augmented compliance events data combined with IRESS data archiving

To alleviate a number of functional constraints in IRESS API, CW will download and archive all trade, order and audit data from IRESS. CW will maintain its own rich set of Compliance events data captured from its various consoles. Combined together, this will form a powerful tool for operational and compliance staff.


Breach management

CW will finally bring together the DTR console functionality with Compliance control and a comprehensive breach management framework is proposed. This will ensure that all breaches are appropriately managed and those not managed can be followed up swiftly by the Compliance team. We believe that CW will be worth the price just for this feature alone.


User, Account, Limit and Filter management

Complete template based, automatic creation and modifications of Users, Accounts, Limits and Filters in IRESS. This will mean the IT personnel will make valuable time savings, and all the changes can be controlled via workflow and will be completely auditable.


You can download the Compliance Wise 2.0 brochure here

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