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IRESS Compliance combines comprehensive trade and context auditing, highly configurable breach and limit rules, real-time trade monitoring, trade action review and analysis and search.
Highly configurable, these can be tailored to the workflow for each line of business, providing compliance personnel with the real-time and historical trade oversight tools they need.
The IRESS OMS provides highly granular control over order flow and routing, as well as comprehensive breach limits and limit rule configuration. This allows the firm to establish very precise criteria for trade oversight and special handling, including real-time alerts and trade monitoring.
IRESS provides comprehensive auditing, tracking every action taken on an order including those that are made directly in the market, and those that are performed by an authorized operator or supervisor.
IRESS also enables Compliance personnel to monitor trades and trade actions in real time for any firm user. In addition, IRESS provides a step-by-step history of all trade actions performed on a given stock, enabling compliance personnel to step through and retrace a trader’s or firm’s actions on a given security.
Supporting a broad range of highly targeted search criteria, IOS+ Search enables a trader to find all trades matching specific attributes, including trades, actions, status, as well as firm, trader and account info.
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