Quadron DataPro and the Q-Suite: Unififed enterprise-wide data management technologies designed to maximize the hybrid buisness model.

Streamlined business supervision, compliance monitoring and reporting

ComplianceQ™ delivers an integrated comprehensive solution set meeting the supervision and oversight needs of all on- and off-platform business through the life cycle of an investor account. Quickly review and approve or investigate aggregated trading activity. Efficiently and thoroughly perform surveillance with robust, fully configurable rule-engine driven exception reports.

  • Aggregated trade blotters covering on- and off-platform business with embedded productivity tools and online approval and note creation capabilities
  • Detect problematic trade, account and advisor conditions with the parameter-driven rule engine to identify and isolate potential areas of risk
  • Integration with other Q-Suite products to cover all your oversight needs from new account approval to ongoing 17a-3 books and records compliance

Features

  • Divide accounts into discrete risk groups and tailor exception rules to your business model and risk profile
  • Online new account and trade approvals covering both clearing and off-platform business
  • Problematic trade and account activity detection
  • Organize views to target transactions with specific characteristics for principal review
  • Segregate customer accounts into discrete risk groups
  • Workflow documentation
  • Integrate and normalize feeds from multiple data sources (including directly-held mutual funds)
  • Automated 17a-3 account maintenance and notice generation
  • Secure Web access via an ASP model

Benefits

  • Identify and isolate potential issues particular to accounts with specified characteristics
  • Increased productivity and effectiveness
  • Improved regulatory and private action risk management
  • Maintain control around your review processes while ensuring compliance with regulatory requirements
  • Identify and isolate potential issues particular to accounts with specific characteristics
  • Consolidated documentation and audit trail provides a record of surveillance performance
  • Get the aggregated decision support information your firm needs
  • Produce required suitability-related regulatory notices to customers with direct mutual fund and variable annuity investments
  • Highly secure data centers protect data and provide online software updates

When to consider ComplianceQ

You want to perform trade blotter reviews with a rich, online toolset

You want supervisory and compliance personnel to work from the same data that covers all your business

You want the ability to tailor exception rules to fit your business model and risk profile

You want immediate access to detailed historical information and context underlying exceptions

You want to retain an audit trail

You want to enhance and automate your compliance with SEC Rule 17a-3

Your current compliance system is cumbersome

You want to increase surveillance productivity and be prepared for stringent regulatory audits without adding staff