Our 22c-2 Compliance solution includes the industry-specific features and design leadership that our clients have come to expect from MARS. Using MARS your firm will be able to monitor and manage all compliance activities without additional staff. MARS reconciles the sales provided by the intermediary to trade activity found in omnibus accounts. The MARS 22c-2 Compliance module’s flexible rules engine and comprehensive work flow manager will satisfy your 22c-2 compliance requirements and includes:
Rules Manager provides the flexibility to monitor frequent trading activity at the shareholder account and transaction levels.
Data Request Manager manages all intermediary requests (both standard and non-standard file formats)
Workflow Manager monitors and manages the status of flagged transactions, violations and action items
Query Analytics and Report Capabilities provides standard reporting and ad hoc query capabilities for business analytics
Data Repository to house all trade and account level data to manage compliance in one place
Audit Trail for all compliance-related activities, communications, all entity changes and user activities. To support your business and Information Technology strategy, we provide the MARS 22c-2 Compliance solution in one of three ways: On-premise, On-demand or a Full-Service solution.
Each service method has its benefits depending upon your organizations’ particular needs.
Our Full-service 22c-2 Compliance solution includes: