OzAsia’s Compliance Module gives clients the power to eliminate compliance uncertainties, with features including:
- Shares holding limit as a percentage of total issued shares- When a stock is to be purchased, user will be alerted if total number of shares held after the purchase is going to exceed this pre-defined percentage.
- Ability to specify the type of stock that can be invested by various categories such as industry sector, company or specific fund/ portfolio e.g. Syraiah or Non-syariah (Islamic compliance).
- Comply to recommendations made by research analysts
- Recommendation Type e.g. Buy, Sell, Hold, Buy on weakness
- Stock classification e.g. Core, Thematic, Trading
- Stock Universe classification- Specify list of stocks recommended as investable
- Email alert for any orders breached by fund managers/dealers
- Setting of daily trading limit for each fund manager/dealer.
The Compliance Module provides your firm with comprehensive checks and controls. Adopting this module shows your commitment in ensuring a process free of errors made from manual checks. This enhances your reputation and your ability to attract and retain clients.
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