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Tracker

Prepare for Tomorrow Today

In today's heavily regulated markets, surprises are never welcome. Yet time and again, financial organizations are rocked by regulatory scandal and censure. Failure to stay apace of regulatory developments across all operational markets presents organizations with increased regulatory risk.

The Traditional Approach to Tracking Regulations

In an effort to keep up with international and domestic regulatory changes, firms have diverted expensive internal resource away from core compliance responsibilities to spend hours scouring and interpreting information provided by a vast range of international regulator and exchange websites. Others invest heavily in outside counsel, simply to flag and comment on upcoming regulation in the market. Both approaches incur significant costs and leave firms perpetually reactive, unable to influence regulatory change in a timely manner.

This can lead to a variety of disadvantages:
Not having the latest information hampers the compliance department's ability to make strategic decisions regarding issues of risk and management oversight
Missing consultation deadlines reduces the compliance department's ability to influence the debate
Missing a rule change deadline can indicate to regulators that a firm's internal controls and risk management strategy is weak
Firms who do not comply with current rules are at risk of regulatory censure

Complinet's Tracker™ – Your Early Warning System

Tracker is the industry's first, enterprise-wide ‘early-warning’ system for upcoming regulatory change. It continually monitors key regulatory developments at more than 60 major international regulators and exchanges, including the FSA, SEC, FINRA, TSX, LSE, AMEX, NASDAQ, Euronext PAB, the Bank of England, ISE, BSE BOX, CBOE, DFSA and QFCRA.

Tracker effectively acts as a ‘virtual compliance’ team of regulatory experts that do the hard work for you – with tailored results and impact analysis delivered to your desktop – at a fraction of the cost of doing it yourself.

Complinet's Tracker™
Acts as an early warning system, allowing an even more effective approach to risk management
Enables you to proactively engage with senior management to get early executive attention and buy-in for your compliance program
Aids the creation of a compliance workflow based on the full rulemaking process
Allows you to target, budget and prepare for upcoming training, recruitment and general compliance initiatives

How Tracker Works

Complinet's Tracker™ automatically monitors key regulatory announcements by major global regulatory bodies. Our in-house team of compliance experts then review and abstract the changes, and apply Complinet's industry benchmark taxonomy structure to them. By setting up your own unique customized profile, all relevant changes are delivered to you in a format of your choice within 48 hours.

Features
Tracks, organizes and thematically connects critical industry developments from more than 60 international regulators and exchanges
Provides full user customization on a widget-based interface to monitor and filter relevant information releases
Delivers authoritative impact analysis on major proposed change from Complinet’s regulatory experts
Connects to Complinet's Rulebooks to provide full connection between regulatory development and the rules affected
Integrates with any RSS feed to incorporate news and updates from external information sources
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