Compliance Module

OzAsia’s Compliance Module gives clients the power to eliminate compliance uncertainties, with features include:

  • 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.

Should you have any queries pertaining the above, kindly Contact us for further information.