The Centerprise EP Compliance module provides compliance officers and staff with a full range of tools to maintain compliance with external regulations and filing requirements, as well as internal policies.

Key features:

  • Watch list and restricted securities support
  • Regulatory filings, history, filing trigger alerts
  • Flexible issuer level exposure reporting
  • Investor guidelines and prime broker offerings and restrictions
  • ISDA and tri-partite agreements
  • Real-time alerts