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    Software Daten Service GmbH, T-Center, Rennweg 97-99, 1030 Vienna, Austria   DIRECTIONS TO SDS
    Tel.: +43 1 24056-0 Fax: +43 1 24056-5930 E-Mail: info@sds.at   ALL CONTACT DETAILS

    Securities Compliance with c:Conform

    The rules within the framework of transaction monitoring comprise substantial checks for the following topics:

    • Employee transactions (reconciliation with customer and own holdings transactions, retention periods, external bank transactions, speculative transactions, Directors‘ Dealings)
    • Insider trading (large orders, front and parallel running)
    • Market manipulation (orders without execution intention, wash trades, spoofing and layering), conflicts of interest

    Within compliance organisations, information is kept that is usually known only by the compliance employees. Our solution offers the following lists in order to avoid or observe non-compliant securities and derivatives trading transactions:

    • Restricted list (selective and company-wide)
    • Watch list (selective and company-wide)
    • Insider directory / confidentiality areas

    Compliance-relevant issues are to be defined as incidents. These document the individual editing steps and allow for audit-proof traceability.

    The person screening/KYC of c:Conform allows for the evaluation of accounts and persons according to the indicia specified in the reporting regimes of FATCA and CRS.

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