Blue Curve Modules
Blue Curve Comply
A few years ago the United States imposed the intricate and detailed regulations covering conflict management and disclosure for all financial research that is distributed in the US. The UK began implementing similar rules in July 2004, closely floowed by many other European jurisdictions.
As a supplier of financial research you need to be compliant with the regulations to ensure you don't fall foul of the regulators. Without considerable planning or management systems the workload falling on the compliance and production areas will tie up a lot of time and significant resources.
The Regulatory Solution - Blue Curve Comply
With Blue Curve Comply you can easily conform to the regulatory rules and guidelines governing the publication of investment research based on where you do your business. Blue Curve Comply will also save you considerable time and effort in the future by continuously adapting to new regulations as they come into practice. Comply is not a one-off solution, it's a continuous commitment to ensure compliance across any jurisdiction you have to work within.
Blue Curve Comply consists of four key areas:
- Conflict management – All the raw data required for conflict management and disclosure is administered and stored within one location. Simple to use tools save time and effort. You gain peace of mind from the full audit trail of regulatory data held in the secure database.
- Analyst PA dealing management – Conflicts can occur if an analyst trades in specificed stocks close to the publication of a report. Ensure you're aware of potential conflicts when dealing requests are made, or when reports are about to be published. The module also provides a full audit trail of activity, analyst holdings and trade history.
- Comply and workflow integration – Blue Curve Comply allows your institution to confidently show a full historical record of a reports progress through your editorial and compliance process, and stores any required data or files to ensure regulatory compliance. In addition, a ronflict report is automatically generated to alert the compliance department to any potential conflicts, and allows them to override or stop the process. As well as offering better management control, the workflow capability of Blue Curve Comply ensures that any conflicts are picked up before reports can be published.
- Analyst and firm disclosures – As well as ensuring a report can only be published if no conflicts exist, Blue Curve Comply will create and insert the correct disclosure. Whether you are inserting disclosures into a report file, or making them available electronically, Blue Curve Comply ensures that the correct disclosure is displayed for the jurisdiction you are operating within.
In addition, a full history of each disclosure associated with each report is retained in the database, ensuring peace of mind when it comes to showing complaince and a robust management process.
Blue Curve Comply has been designed to handle the regulatory conflict management and disclosure guidelines for any jurisdiction , and can easily be configured to handle your specific application of the rules. In addition, the format and style of the disclosures can be easily customised to confirm to your own style and branding guidelines.
For more information on how Blue Curve Comply can give you peace of mind, give our sales team a call on +44 20 7392 1300.