Enterprise control within global capital market organizations includes compliance with legal and regulatory requirements across many jurisdictions. Corporate risk management policies, established by the board and senior management, set the framework for such compliance. A major challenge for capital market organizations, however, is consistent, firmwide implementation of corporate policies within a complex, legal entity structure and given a myriad of burdensome regulatory requirements across many jurisdictions.

LegalCenter, the Legal & Compliance and Corporate Policies module of CenterSphere, is designed to facilitate enterprise-wide compliance with legal and regulatory requirements. Its regulatory framework and collection of risk management policies together offer a comprehensive approach to creating a stronger control environment and satisfying regulatory requirements. Moreover, its document tracking and electronic storage system further facilitates compliance with regulatory guidance and sound risk management principles. LegalCenter also provides an integrated approach to managing external legal and regulatory relationships. It utilizes a single, centralized location for maintaining contact information, which facilitates management of outside counsel and regulatory relationships by organizational units and/or specific legal and compliance staff. LegalCenter can also serve as an important resource to outside counsel and regulators—CenterSphere's user permissioning functionality allows you to grant them ready access to relevant documentation or information.

• Leading regulatory and industry policy documents on sound risk management practices are integrated within the system.


• A collection of detailed, sound risk management policies are available.
• All policies are mapped to relevant workflow process templates (see CenterFlow module) as well as group assignments (committees and project teams).

• Provides a comprehensive framework for managing compliance with regulatory requirements.


• Provides an accurate and up-to-date snapshot of U.S. financial services regulatory regime.
• Allows your firm to maintain a complete view by legal entity of responsible regulators and reporting requirements.
• Facilitates management of regulatory reporting via navigation from regulated entity types (or specified criteria) to regulator and regulatory reports.

• Provides an integrated approach to managing external legal and regulatory relationships.


• Utilizes a single, centralized location for maintaining contact information.

• Supports tracking of all relevant documentation by any entity type (e.g., counterparty).


• Provides a reference for a given document location and persons associated with the document and their roles.
• Can also serve as a storage facility for documents in electronic form, including XML-based versions of ISDA master agreements, electronic trade confirmations, etc.