Guardian revolutionizes regulatory compliance & financial accountability and reform how you track and report trade activities, manage advance requests for future trades and proposals for non-compliant trades taken by the employees.
Guardian by KFintech is a cutting-edge trade monitoring platform. As a compliance management system, it uses an exhaustive set of data feeds to track and report trade activities, manage advance requests for future trades and proposals for non-compliant trades taken by the employees. Here are some practical compliance solutions and features that Guardian offers:
Our compliance management tool flags the skipped/unauthorized trading accounts by the employee and their associates.
Reporting is essential in compliance risk management. Guardian simplifies the process of preparing and presenting trade data for audits.
Our trade compliance software has customized rule engines to flag and monitor the activities of access and non-access employees.
With our compliance management system, you can track and approve/reject the diligence requests raised by the employees for any future trades.
With a single dashboard, the trade compliance manager can share the new rule or compliance notification organization-wide to all employees at once.
Unlike other compliance solutions, you can request a justification proposal from employees on any trades flagged by the Guardian.
Trade compliance solutions should allow you to manage employees with access to information, whether they are internal or external to the organization. Guardian keeps track of all employees with access to sensitive information. Employees and their relatives can self-declare their accessibility to authorized information. We prioritize the security of sensitive trade information and have built rigorous encryption protocols and multi-layered security measures to ensure that data remains confidential and protected at all times.
Guardian is a compliance management system that besides the regular trade reporting capabilities also facilitates compliance management of all flagged activities. The compliance officer and other administrators can have a one-view to review and approve any advance diligence raised and request for a justification proposal from employees on any activities performed by them or their relatives. By setting up customizable rules, we empower users to automatically flag non-compliant trades, ensuring strict adherence to regulatory standards and avoiding potential pitfalls.
