Uncover Hidden Risks in Financial Instrument Compliance
Mitigating sanctions risk related to financial securities, including indirect investments, is a complex undertaking as regulatory scrutiny of investment management strategies intensifies.
In addition to vigilantly screening and monitoring sanctioned entities, risk and compliance teams must monitor and track exposures and identify beneficial owners and subsidiary relationships across entities and a wide range of financial instruments, such as structured products and options. This requires a robust solution that improves data quality, analyzes and uncovers connections across multiple jurisdictions, and ensures readiness to pass any audit or regulatory inspection.
FinScan Securities brings together advanced technology and sanctioned securities data from leading data providers to uncover the potential risk of violations hiding in your trading books and securities inventory according to the latest regulations. FinScan Securities identifies associated companies, securities, and connections between domiciles, companies, and individuals, aggregates the results into a single consolidated list, and provides a clear and transparent audit trail and intuitive review process.
A Better Way to Uncover Sanctioned Securities
Save time and reduce risk by eliminating reliance on spreadsheets and the manual process of scrubbing through data to screen and identify hidden sanction risks. Remove your IT department’s burden from having to design, build, and maintain a home-grown solution. FinScan Securities provides a complete, streamlined workflow from data analysis and cleanup to audit trails and reporting.
Better data quality
Correct errors in company names, populate missing elements, and standardize formats across source data or securities data feeds.
Fine-tuned risk alerts
Match your exact sanctions obligations by building risk scenarios based on customer data and securities alphanumeric attributes.
Improved productivity
Clear hits faster by reviewing alerts for all business operations, including screening for securities positions held, in a single case review screen.
Flexible configuration
Free yourself from the IT backlog by quickly and easily creating rules to match your securities to your sanctions list.
Efficient workflows
Match your own business processes when evaluating positions in sanctioned securities— from the trading desk to the book of records.
Immutable audit trail
Prove your security matches and disposition decisions with a trusted audit trail. Generate reports and export data for other applications.
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