Powerful Compliance Process Solutions

Operational due diligence is increasingly becoming a more comprehensive process spanning multiple areas within a firm including, but not limited to:

  • Trading
  • Compliance
  • Operations
  • Cyber-security
  • Risk Management
  • Legal
  • Technology
  • Settlement
  • Plia systems streamlines the process for Advisors and Counterparties by automating the workflow and ensuring key documents and policies are reviewed on a regular basis.

    Counterparty Risk | Operational Due Diligence | Best Execution | SEC Rule 206 (4) 7
    TCA Integration | Trade Exception Review | Reporting/Dashboard Analysis
    Increased regulatory scrutiny and elevated investor concerns create a greater need to improve management of the operational due diligence process


    • Streamlines requests / delivery of broker information onto a single electronic platform
    • Provides ability to setup automatic requests for required information (weekly/monthly/yearly, etc) and alerts to non-responders
    • Provides time-stamped audit trail of all counterpartyinformation (documents/emails/notes)
    • Provides the ability to define and receive counterparty confirmation of "Order Handling Rules"
    • Provides intraday supervisory/compliance review of "Trade Exceptions/Outliers" with audit trail approvals
    • Provides the ability to integrate TCA metrics for supervisory review and/or warehousing of reports
    • Provides a consolidated Dashboard of all counterparty information
    • Provides Reports for compliance records, broker due diligence committees, and SEC Audits