Valdi Trading Compliance

SunGard Valdi Trading Compliance is a Web-based surveillance, supervision, and management reporting tool that provides a complete view of an order’s lifecycle, including cancel, routes, and executions, for your firm’s institutional equity trading desk. The alert-driven solution is supported by a comprehensive time and sales database that assists your compliance personnel in monitoring and managing equity trading activity. Valdi Trading Compliance also automatically generates a report of every update, providing a complete audit trail.

Features

  • Displays a complete view of an order’s lifecycle
  • Generates daily blotter reviews
  • Produces automatic record of every update
  • Offers detailed internal investigation capabilities
  • Provides a reporting facility to satisfy FINRA OATS and NYSE OTS

Benefits

  • Provides support when responding to audits and regulatory inquiries in a timely manner
  • Allows users to generate documentation of issues and actions taken
  • Simplifies the investigation process down to the individual transaction level
  • Alleviates data storage requirements for individual firms
  • Protects access to information with permissions-based controls

Brochures & Datasheets

  • PDF file [PDF, 1320 KB]

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