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Oyster Solutions
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Integration with trade surveillance tools
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Ingests Pershing’s standard data files and can provide you with alternatives to systems like Protegent or Actimize.
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Customizes trade alert delivery
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Determine and configure the frequency, severity and parameters of all of your alerts in one system.
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Provides AML onboarding due diligence
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- High risk entity
- OFAC
- SDN list checking
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Trade monitoring at household and account level
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- Account or Client Fees
- Share Class Selection
- Trading Ahead
- Portfolio Risk
- Liquidity
- Complex Products
- Suspicious Activity/AML
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Trade blotter
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Evidence your reviews with notes and electronic sign-off to document supervision and testing for rule compliance and regulatory requirements.
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CAT/CAIS Reporting
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Integrate FINRA CAT reporting events with error analysis and validation
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View and identify errors and data gaps between vendor and CAT reported data
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Individual and bulk repairs prior to the FINRA CAT Portal
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Generate event and repair files for submission to the FINRA CAT reporting portal
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View alternative investment platform reports and the underlying source data in a single platform
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Web-based GUI that provides firms with practical data so users can efficiently identify, monitor, and manage errors which may impact their report.
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Mutual Fund Analyzer
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Identify and document the lowest cost share class option and reasonably available alternatives
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Provides documentation of compliance with Regulation Best Interest (Reg BI)
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Identify funds by multiple factors, including objective, equity sector, fixed income type, risk and maturity
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Align these to the client’s time horizon, portfolio holdings, and account type
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Still Want More?
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Replace outdated, burdensome legacy systems
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Modern, scalable and comprehensive platform to grow and change with you
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Define and quantify risk
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Provides risk assessment that matches risk to your controls and monitoring process
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Prioritize work using configurable workflows and compliance calendar
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Enhanced calendar schedules compliance workflows, notifies users of tasks and guides employees step-by-step through the process
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Get transparency into your employee or 1099 population
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Track Licensing and Registration; business continuity plan information, assigned equipment and complaints, and much more
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