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Trade Execution and Compliance

Trade Execution and Compliance
Wealthware Order Management is a comprehensive set of applications that ensures compliance and regulatory requirements are met for accurate, real-time trading and straight-through processing of equity, foreign exchange, option, fixed income, and mutual fund transactions. By automating, integrating and validating securities transactions, “once and done” processing moves critical order information seamlessly and error-free from the front office to the back office in real-time. Wealthware Order Management consolidates multi-channel order flow, resulting in a single settlement process to reduce operational costs and improve business control.

Wealthware Order Management also supports the distribution of multiple products offered by multiple institutions, enabling your advisors to provide a broader range of securities to their investors.

Wealthware Order Management supports multiple delivery channels, such as full-service or client-direct, and includes modules for Equities, Bonds, Funds and Foreign Exchange.

Mitigate Compliance and Regulatory Risk
Orders are validated for suitability through firm level rules and supervisory checks. Rules are configurable down to the user level to enable or disable types of trades, set commissions or other customized requirements based on the needs of the institution. All applications provide a complete audit trail for easy compliance reporting.

Streamline Workflow
Automates firm specific workflow processes to a single and integrated platform. Client and portfolio information is readily available and integrated with order execution for a seamless flow of information and straight-through processing to the appropriate exchange or fund company. Advisor workflow is optimized and operational efficiencies are realized through expedited and error free order generation.

Improve Return on Investment
Order Management’s transaction engine supports all delivery channels – full service, client direct and wireless – increasing product distribution to more investors. Automated trade execution decreases error rates through effective order modeling and compliance checks, reducing the cost of each transaction. Reduced costs also result from fewer administrative personnel needed to monitor trades and manage corrections.

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