Powerful Compliance Process Solutions

With our best-in-class, cloud-based workflow and reporting tools, Plia Systems will enhance your firm's compliance procedures while lowering costs and improving your competitive positioning. Plia turns policy into practice.

Broker Analysis
Operational Due Diligence
FINRA Regulations

For asset managers and institutional investors, fiduciary responsibility requires a higher standard of diligence. Elevated regulatory requirements and increased investor concerns have created a greater need for asset managers to improve compliance procedures. Plia Systems provides tools to enhance evaluation, task management, workflow, documentation and reporting capabilities.

Broker Analysis

Broker evaluation involves more than transaction cost analysis and research votes. In addition to trade execution and research, reviewing the overall capabilities, characteristics and risk profiles of brokers is necessary to fulfill your firm’s fiduciary responsibilities. Plia Systems provides institutional investors and asset management firms with powerful tools to enhance evaluation, workflow management and reporting.

Operational Due Diligence

Given the critical role of brokerage firms in executing investment strategy, Operational Due Diligence has become a much more important aspect in analyzing existing and potential service providers. Plia Systems service streamlines the process by automating workflow and ensuring key documents and policies are reviewed on a regular basis.

FINRA Regulations

Scrutiny from industry associations and regulatory agencies is increasing. FINRA Rule 3130, Annual Certification of Compliance and Supervisory Processes, is of specific concern to the investment industry. Plia Systems task management, work flow and documentation tools make what was once an onerous process simple.


Learn More About Plia!

Plia Systems Best Execution Module turns policy into practice for asset managers and institutional investors. Our solution greatly improves best execution monitoring and analysis by providing a platform to acquire, analyze and grade broker performance on any metric your firm deems important in fulfilling its duty of best execution. These can include quantitative metrics as well as qualitative measures.

In addition to analytical tools, our platform documents your firm’s best execution workflow process. Broker detail and summary reports are available for compliance officers, traders, sales staff and senior management. Using our system shows your firm’s commitment to fulfilling its fiduciary responsibility to clients and regulators.

Contact our sales team to learn more about how Plia can customize solutions specific to your firm's needs.