Z

Compliance
Management

 

COMPLIANCE MANAGEMENT FOR FINANCIAL INSTITUTIONS

For over 25 years Terrapin Technologies has provided regulatory compliance management solutions to financial services organizations. Now, more than ever, you need a strong technology partner to navigate the new rules and regulations and the rapid pace of change in all aspects of your organization.

Terrapin is continually upgrading Pandia to ensure their client’s compliance programs are in accordance with the financial industry’s tumultuous regulatory environment. From AML to KYC compliance, Pandia is there to make sure regulatory requirements are met.

Pandia’s robust data aggregation platform integrates numerous sources of data, enabling clients to eliminate manual processes such as spreadsheets and actively engage with the data in a secure web-based application.

Compliance and Exception Reporting
Pandia’s interactive rule and exception based reporting automates financial firms compliance and supervision processes. A core piece of our compliance solution is a comprehensive suite of exception reports that provide the necessary tools to conduct trade oversight and suitability review, and to be in compliance with KYC requirements.

Sampling of Reports:

  • Active Trading
  • AML Trade
  • Customer Account Liquidation
  • High Risk Customer Activity
  • Risk Based Trade Review
  • Trade Cancellation

In addition, online Trade Blotter and Compliance Report reviews are tracked. Linked with Compensation and Commission Processing, licensing rules for paying commissions are automatically enforced.

License Manager
License Manager is designed to help organizations in banking, insurance and financial services markets to proactively manage adherence to license requirements with security exams, insurance licenses, and carrier appointments. License Manager will import data from sources such as FINRA’s Web EFT and RegEd and integrate that data into Pandia. License Manager allows organizations to manage trade information and license information in the same system and is designed to help compliance managers oversee regulatory compliance in real time.
Books & Records
Regulatory rule compliance management for customer account records and correspondence (SEC Rule 17a-3). Letters are generated, mailed, and tracked via the system. Correspondence includes 36-Month mailing, address and name change letters, and carrier broker and branch update letters.

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