Compliance as a Service

INDATA’s CaaS (Compliance-as-a-Service) is a fully integrated compliance offering that provides software, technology, services and data via a single, fully-integrated solution.

CaaS is offered by INDATA to iPM Epic clients via iPM Cloud as well as in-house software users and provides INDATA clients with the ability to leverage highly experienced INDATA staff for compliance rule writing, set up and testing. The goal of CaaS is to assist INDATA clients on an outsourcing basis, as well as to act as an extension of the firm’s compliance, operations, and/or trading departments to enhance compliance, increase operational efficiency and reduce risk.

Services Offered

-> Compliance Rule Writing/Creation
-> Review of Pending Compliance Rules with Client’s Compliance/Operations Staff
-> Rule Testing and Ongoing Updates to iPM Compliance Rules Library
-> Provides clients with highly experienced INDATA staff

Key Benefits

-> Allows clients to operate in a “hands free” environment without having to worry about or staff around complex compliance rules administration
-> Compliance/Operations staff can shift focus from software administration duties to higher level functions related to core business

Global Shareholder Disclosure Service (“GSDS”) is a component of INDATA’s overall iPM CaaS offering.

GSDS contains a software offering and also a compliance rules library (for A&O aosphere sub- scribers). INDATA clients can either use GSDS functionality in conjunction with the aosphere-based rules library as part of an integrated solution (best practice) or use the GSDS tracking/compliance software on a stand alone basis.