Compliance and Risk Management

The financial services industry is going through unprecedented changes to regulatory compliance. At the same time, the importance of effective risk management has never been higher. Maracuya’s system has both of these capabilities built in throughout the solution, providing you an outstanding level of reporting and control.

We provide:

• Detailed Know Your Client data management.
• Authorized signatories are tracked on orders and workflow instructions.
• Multiple signatories can be required for certain workflow instructions such as wires.
• Scanned document attachments for client onboarding, trade confirmation and workflow instructions.
• Detailed purchasing power checks before any transaction, based on current holdings and pending transactions.
• Purchasing power can be cross-guaranteed between related clients if so desired.
• Approval processes are in place for trade and non-trade instructions.
• Trading restrictions are configurable based on margin (where extended) and quantity of shares (fat finger checks)
• Securities can be blacklisted per client, market or route.
• Audit capabilities are implemented throughout the system including transaction history and transaction origin tracking.