Business Intelligence / Customer Relationship Management Workshop for Capital Markets
 

TradeBI Compliance... a solution for the New Reality

Barings, Kidder Peabody, Allfirst Bank, for example, are just a few of the firms that paid the price in reputational risk and shareholder equity for rogue trading. Add to that recent regulatory changes such as decimalization and its resulting reduction in profits, research scandals and unethical IPO allocations, damaging corporate events, terrorist activities funded through money laundering, new concerns on possible front-running and the result is an industry that has lost credibility with the investment public. These reoccurring incidents are forcing an increase in regulatory scrutiny of corporate and investment banks, brokers/dealers, traders, analysts and all client handling activities.

Operational losses, significant fines and the public airing of each incident and scandal requires a new direction for the New Reality and that is the challenge to move from "Best in Class" to "World Class" in Compliance. There is no alternative. TradeBI Compliance provides World Class Compliance today. This solution is available with Sterling Management Solutions' industry leading TradeBI product or as a standalone solution.