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Compliance Management System & Solutions– Compliance Workstation

Leading workflow management system and solutions with data analytics to enhance business-critical functions from portfolio management, reporting to regulatory compliance.
Learn more about our fixed income issuance solutions
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DealMonitor Overview

ComplianceWorkstation offers a single view of all primary market activity from our DealMonitor application. This applies to all supported actions, from Portfolio Managers aggregating orders internally to Traders consolidating and submitting external orders to brokers. This provides your organisation with a clear picture of all its core operations.

KEY STATS



CUSTOMERS

Compliance Officers

Many buyside businesses' principal issuances workflow now requires monitoring across numerous channels. Our DealMonitor platform provides a centralised location for main issuance, as well as a direct connection to the sellside brokers with whom you have trading lines.




95%

EMEA Primary market ran over DealMonitor

80%

APAC Primary market ran over DealMonitor


The ComplianceWorkstation can see all your messages, deal details, trades, and allocations in one spot, and easily extract the information via API for downstream consumption. This gives companies the control and transparency to oversee operations, without slowing down the Primary Markets' fast-paced environment.

One place for primary giving a workstation that oversees all traffic.

Transparency and control that doesn’t impeach on Traders and Portfolio Manager.

Exportable information which can be consumed downstream via API.

Orders & Allocations visible as they are placed, and as they received from the sellside broker.



Products and Solutions

  • IssueNet

    A unique network of member banks linked by web-based technology that synchronizes deal and order book information between syndicate desks.

  • IssueLaunch

    Our deal terms communication tool ensures that banks and all other parties involved can work together in real time to set up deals and communicate the terms to sales, other banks, and investors in an organized, compliant format.
  • IssueBook

    From origination through marketing to book build, allocation, and settlement: IssueBook streamlines and centralizes book building for the fixed income new issuance process.
  • Japanese Dashboard 2.0

    Centralized, auditable platform for Japanese retention transactions, enabling smooth execution of deal communication.

    Japanese Version

  • InvestorAccess / Buyside Services

    Communication of orders between buyside portfolio managers and traders directly via their OMS provider.
  • DealMonitor

    A web portal for buyside investors to view, interact, order, and receive allocations with new issues available in the market.
  • Primary Indication Management (PIM)

    Communication of orders between buyside portfolio managers and traders directly via DealMonitor.
  • DealServices API

    Consume deal data internally
  • FIX Connectivity

    Order placement via FIX for OMS, EMS, & Proprietary Built Systems
  • ComplianceWorkstation / Audit feed

    Monitoring of primary market activity conducted by traders and portfolio managers.
  • IssuerView

    Direct access for the issuing party of a new transaction, showing a live view of the demand for their offering. (Coming Q1 2021)

Experts

Nick Hall

Mr. Hall has over 20 years of Financial Services experience, including the last 18 years in the Fixed Income Primary Market. He has a deep knowledge of the primary process and has implemented complex technological solutions, which have transformed the way deals are run in EMEA, APAC and the US.Mr. Hall currently manages the Fixed Income product suite for IHS Markit, which is used by banks, issuers and investors to reduce risk and increase efficiency during the primary issuance process. Last year, the platform supported over $4.3 trillion of new issuance.

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Chris Sztam

With over 25 years of experience, Mr. Sztam is a senior Financial Services Executive specializing in regulatory change initiatives, business model transformation, merger integration and managing large complex teams and projects. He has held senior leadership positions across capital markets, trading, research and operations and strategic planning with firms including Goldman Sachs, Lehman Brothers and Booz Allen Hamilton.Mr. Sztam holds a Bachelor of Science summa cum laude from Fairleigh Dickinson University and an MBA in finance and accounting from the University of Chicago, Booth School of Business, United States. He has held Series 7, 63, 55 and 24 licenses.

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