Monitoring financial crime monitoring is fundamental for prevention of money laundering and international terrorism. GRACE AML automates client monitoring against worldwide sanctions to generate risk profiles. It meets Customer Due Diligence Rule expectation of monitoring beneficial ownership in sanctioned entities,  adverse media and identify and report suspicious transaction patterns.

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GRACE Trade monitoring automates the process of trade aggregation from various data sources and allows automatic red-flagging to identify violating trades based on business rules and mark up the issues in them. The aggregated trade data can show pattern of insider trading monitoring and client best execution discrepancies. It helps identify conflicts in personal trades, bad allocation for clients etc.

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GDPR, California Consumer Privacy Act (CCPA), PIPEDA, and other worldwide Privacy Laws  mandate stringent security over client information whether being managed internally or by vendors. GRACE can help you set up the internal processes needed for policies and procedures, do risk assessments, manage IT inventory and vendors, monitor client consent and manage breaches based on NIST, ITIL, ISO frameworks.

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GRACE Vendor risk helps manage information on all third party / vendors, their locations, SLAs and conduct due diligence on their processes. Periodic / continuous monitoring of vendor’s data  business continuity, security management and compliance processes and identify risk trends for early corrective action

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GRACE helps build and manage oversight of branches and registered representatives to their adherence to regulations, identify conflicts of interest, and any risks to their clients. It helps monitor Outside Activities of Representatives from Public information sources. Findings from examinations can identify risks across these to take early corrective action.

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Institutional investors like Pensions, Endowments, Fund of Hedge Funds and Private Wealth Management organizations can use GRACE to conduct Operational due diligence on Alternate Investment firms  to identify operational issues before they invest,and monitor them post investment in an organized way.  Early identification allows protection of their investments before their portfolio is impacted badly .

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GRACE Online Training Management system helps the organization set up customized and standard training on the web and helps manage training programs to ensure that all the staff are fully aware of the latest procedures, regulatory expectation, marketing aspects etc, to prevent  compliance violations.

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GRACE for SM&CR (Senior Management & Certification Regime) helps manage the process of recording Senior Managers obligations and monitoring and certifying them for adherence Management as expected by Financial Conduct Authority in UK.

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Environmental, social, and  governance (ESG) considerations have become one of the most pressing elements within the financial markets landscape, driven by both investor demand and regulatory scrutiny. GRACE ESG for corporates has been created to help Corporates manage their internal ESG practices and build improvements  through establishing  ESG processes, data gathering, metrics management and continuous monitoring

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