Speed. Smarts. Skill.

Financial policy enforcement:

Problem
An investment bank must comply with new regulations on short selling of securities, and communicate with its customer base. Need to adjust policies and trading rules for appropriate equities, communicate new rules to the customers with exposure to these equities.

Approach
A browser-based policy management application to manage OASIS XACML driven policies, rules, and functions. Customer management view to properly communicate any policy changes and how they affect appropriate securities and portfolio exposure.

Trading Policy Manager Showcase

Business Value:
Execute policies/entitlements within days NOT months and improve your time-to-market capabilities
Let business users manage trading rules not developers
Enable repeatable, auditable and reliable process of policy enforcement
Improve communication and customer service to institutional and individual investors
Enable unified policy store for all business domain

Results:
Expedient reaction to new regulations
Reliable, repeatable and fully tested compliance manager
Integration to policy engines, Business Process Management (BPM), and trading platforms

Services:
Deliver trading system adapter to query equity information for this mandate
Design rules and policy management user interface
Create temporary short selling ban on the required securities
Enable communication services to the clients to announce, monitor, and manage activities around these securities

Benefits:
Intuitive, web-based, trading policy and rules management interface
Seamless integration to the existing trading system
Use of open standard (OASIS XACML) for interoperability and transparency of rules definitions
Speed, Speed, Speed

Industry:
Financial Services

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