Kinetix Compliance Suite offers a rich,
rules-based engine accessible from various interfaces

Pre or Post Trade
Pre or Post Trade

Real-time compliance decision system for use during trade booking or post analysis

Audit History
Audit History

Auditable history on why specific decisions were made

Centralized rules
Centralized rules

Coverage across the product stacks

Integrated
Integrated

Compliance, Digital Library, and Trade Hub products are interoperable or standalone

Trade Reporting
Trade Reporting

MIFID II, EMIR, DODD Frank, Canada, MAS, SFTR

Record keeping
Record keeping

MIFID II compliant full audit history Archiving Storage

Rules Engine
Rules Engine

Customizable rules allowing business to improve business conduct.

AI Assurance
AI Assurance

Identify errors and omissions.
Over/Unre reporting.
Avoid duplications.

Components and Logical Flow

Kinetix simplifies your trade capture across electronic and voice executions, defaults the trade details so you capture it right at the point of entry, routes the trade through its workflow, and supports exception management for quick resolutions.

Rules Engine

Kinetix Compliance Suite uses a rules engine to improve business controls and compliance for front to back efficiency. The business rules are client specific and constructed together with business analysts.

External Reporting Compliance

Trades are marked with reporting jurisdiction and validated at the time of booking

Product Taxonomy

Trades are stamped to verify product categories for use in reporting and improving front office trade booking compliance

Trader Mandates/Limits Checking

Enables trading supervisors to control and verify business conduct as defined by regulators

Sanctions and Violations Monitoring

Globally restricted events are checked as trades are captured and can be either blocked or alerts raised

Client Success Stories

47%
Deployed Kinetix Compliance Suite at a global bank, reducing reporting errors and improving trade booking compliance. Point of capture trade stamping optimized pre and post trade teams and systems.

The Challenge

A global financial insituition wanted to decommisssion a 25-year-old legacy – the bonds and futures trade management system that they had deployed across their Us and Asian trade desks

The Solution

We implemented our Trade Management system and integrated over 20 straght-through processing feeds from major gateways, ECNs, settlement systems, and allocation and processing engines, including Bloomberg TOMS and the bank’s enterprise-wide pricing system. Our solution also helped them meet the MiFID II industry requirements and was seamlessly integrated.

The Result

Our implementated Trade Management product standarized their operating model across products and regions and allowed them to reduce their annual operating expenses by $5M

International Hedge Fund
The rules engine was configured for portfolio limit checking ensuring trader mandates were checked and reported for any exceptions.

The Challenge

A global financial insituition wanted to decommisssion a 25-year-old legacy – the bonds and futures trade management system that they had deployed across their Us and Asian trade desks

The Solution

We implemented our Trade Management system and integrated over 20 straght-through processing feeds from major gateways, ECNs, settlement systems, and allocation and processing engines, including Bloomberg TOMS and the bank’s enterprise-wide pricing system. Our solution also helped them meet the MiFID II industry requirements and was seamlessly integrated.

The Result

Our implementated Trade Management product standarized their operating model across products and regions and allowed them to reduce their annual operating expenses by $5M

Major Industry Association
Selected by industry trade association to develop a user platform that allows market participants to access rulebook documentation in electronic form with enhanced navigation and other features.

The Challenge

Multiple departments within a major hedge fund were referring to multiple Excel tables and affirmation platforms to confirm their trades.

The Solution

We created a unified trade affirmation/confirmation view across futures, bonds, and OTC derivatives for our client. We also provided exception GUI with middle-office functionality and a rich MIS toolkit to evaluate volumes and operational productivity, and full connectivity with MarketWire, ICE Link, DTCC, OASYS, and multiple futures prime brokers.

The Result

Our client saw a 41% decrease in tech spend and processing costs by reducing their vendor license costs and eliminating their Excel-based exception monitoring.

47%Deployed Kinetix Compliance Suite at a global bank, reducing reporting errors and improving trade booking compliance. Point of capture trade stamping optimized pre and post trade teams and systems.

The Challenge

A major company wanted to implement a process that quickly scanned daily trade activity across net class for potential compliance viloations

The Solution

Through our compliance rules engine, we provided a solution with a violations processor to scan all trade acivity and run the results against a compliance rule set to generate a list of potential violations.

The Result

Our client was able to easily catch and remediate compliance violations daily, avoiding potential reulatory fines.

International Hedge FundThe rules engine was configured for portfolio limit checking ensuring trader mandates were checked and reported for any exceptions.

Through our compliance rules engine, we provided a solution with a violations processor to scan all trade acivity and run the results against a compliance rule set to generate a list of potential violations.

The Solution

Major Industry AssociationSelected by industry trade association to develop a user platform that allows market participants to access rulebook documentation in electronic form with enhanced navigation and other features.

The Challenge

A major company wanted to implement a process that quickly scanned daily trade activity across net class for potential compliance viloations

The Solution

Through our compliance rules engine, we provided a solution with a violations processor to scan all trade acivity and run the results against a compliance rule set to generate a list of potential violations.

The Result

Our client was able to easily catch and remediate compliance violations daily, avoiding potential reulatory fines.

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Kinetix Compliance Suite

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