SIMPLIFY

WEB-BASED PROCESS MANAGEMENT SYSTEM

Advisors

PLIA is a central repository for all counterparty due diligence information and operational risk management. PLIA is designed to present an efficient and cost effective industry wide solution for the exchange of essential administrative information between asset managers and their brokers.  This includes standard due diligence questionnaires and customized data requests/document attestations with date and time-stamped audit trails.

In addition, PLIA provides trading related functionality to support best execution and trade abuse reviews.

 

Brokers

PLIA streamlines information requests between Brokers and their clients by automating the workflow in responding to client requests. PLIA alleviates brokers from having to respond multiple times to similar client questions and can be setup to require a hierarchy of approvals before any information is sent to the client.  

 

In additon, Brokers can take advantage of PLIA's workflow and audit trails to send outgoing requests for client information / document attestations and can be used for internal KYC processes. 

 

Counterparty Due Diligence

 

Setup customized questionnaires or "data requests" to request due diligence information from your counterparties.  All information is audit trailed and users can print reports for compliance records, due diligence committees and regulatory audits.

Trading Related Functionality

 

Utilize trading-specific tools such as the "outlier" feature for documented trade abuse reviews and reporting. Send “data requests” for routing parameters, algo rules and order handling agreements.