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Blue Sheet Reporting (SEC Rule 17a-25) And Large Trader Reporting Rule (SEC Rule 13h-1) Compliance Enabled By N-Tier's Compliance Workbench

NEW YORK, Feb. 20, 2013 /PRNewswire/ --  n-Tier releases Compliance Workbench enabling Compliance Professionals to achieve a best-in-class standard in complying with FINRA Blue Sheet Reporting requirements and with the Large Trader Reporting Rule.

"All Compliance Departments have the ability to respond to Blue Sheet requests, however very few have a robust, ongoing approach to monitor the completeness, accuracy and format compliance of their Blue Sheet submissions. In addition, firms across the industry lack the automated facilities needed to ensure critical account information is properly grouped and validated as required by the Large Trader Rule going into effect May 1, 2013," said Geoff Love Head of Business Development at n-Tier.

Ensuring critical reference data used in EBS Reporting is accurate and reliable

Compliance Workbench enables firms to quickly implement automated processes that check the validity of reference data across all systems. Using Compliance Workbench firms benefit from a comprehensive workflow that identifies reference data issues effecting their reporting, communicates issues across users involved in data cleanup activities, and monitors the overall progress made in addressing critical reference data problems.



Ensuring Blue Sheet submissions match the trade data stored across your systems and adhere to FINRA Blue Sheet format and value requirements



Compliance Workbench operating-independently from a firm's Blue Sheet infrastructure provides the real-time monitoring needed to ensure the accuracy and completeness of your Blue Sheet reporting. Utilizing Compliance Workbench format, value, and trade data errors, are identified in your reports and are distributed to the appropriate personnel.

Enabling Large Trader monitoring compliance through flexible account grouping facilities

Compliance Workbench provides the functionality needed to ensure a firm's account information is properly grouped by client enabling the accurate monitoring of trading activity. Using Compliance Workbench firms can automatically group accounts from different sources, manually review—adjust—approve—and—export account groups, and securely distributed account information to clients for approval where required.

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