Oyster Solutions allows you to effectively monitor your client and employee trade activity. The Monitor module allows you to see activity at household, account, rep and firm levels. By ingesting data from one or more clearing firms and custodians, Monitor allows aggregation of information across back-office systems, in one view.
One powerful platform that’s easy to use. Incorporate alerts, trade blotter and profiles with the Oyster Solutions platform.
-Current Client
A filterable, sortable, exportable trade blotter can be a valuable resource for supervision, surveillance and testing. Evidence your reviews with notes and electronic sign-off to prove your supervision.
Configuring the Oyster Solutions alert engine to your specifications allows you to monitor for potential exceptions. Comparing transactions, positions and fees to your client profile keeps your team ahead of potential issues. Determine the frequency, severity and parameters of all of your alerts in one system while using our online tool to keep your compliance program ready for today’s markets.
House information about your associated persons using our Profile tool. Profile allows you transparency into your employee or 1099 population by keeping information in one place where you can view employee type, supervisory hierarchy and business continuity plan information. You can even track licensing and appointments, outside business activities, assigned equipment and complaints for needed individuals.
Monitoring employee personal trade activity is time consuming and requires seamless communication between employees and compliance teams. Oyster Solutions provides a place for employees to apply for pre-approval and also for firms to house employee information such as outside business activities, conduct verification and identify conflicts of interest with client activity.
Learn how Oyster Solutions creates a modern, effective compliance program that protects your firm and provides value.
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Step 01
Integrate data, policies and procedures
Step 02
Map data, policies and procedures to regulations, products, business lines, policy owners
Step 03
Define and measure risk, determine frequency of testing
Step 04
Configure workflows to achieve efficient, consistent results
Step 05
Manage through reporting and transactional monitoring processes
