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Middle Office
TurboCompliance®
integrates with your prime broker, administrator, Order Management System and Portfolio Management System in
order to automate many of the business processes and related compliance procedures associated with:
- Portfolio Management & Trading
- Suitability
- Client and Offering Memorandum Mandates/Restrictions
- Trade Allocations – Pro Rata, Targeted or Departures
- Automated Trade Error Log
- Trading Execution Issues
- Best Execution
- Soft Dollars
- Principal, Agency Cross & Cross Transactions
The TurboCompliance Middle Office Solution provides the ability to automate the monitoring, supervision,
detecting, reporting, documenting, sanctioning, annual review and forensic testing required by your
related compliance procedures.
Please review the Modules section for a more complete discussion of how we work in concert with your CCO,
attorney and CPA to build a version of Turbocompliance which delivers an absolute culture of compliance.
TurboCompliance can reduce the compliance work load and related costs from 75% to 85%.
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