Automatically monitor regulatory updates to map to your internal policies, procesures and controls. Learn More
Automatically monitor regulatory updates to map to your internal policies, procesures and controls. Learn More

Energy and Commodity Trading

Regtech Compliance tools

Regulatory Compliance Management

Energy and Commodities trading is a highly-regulated business, one that must keep up with the constant changes in financial and government regulations. It’s essential for organizations to proactively maintain compliance, keep policies, procedures and controls up to date and avoid reputational damage. To ensure this, compliance teams need a solution to filter out the noise and highlight exactly which regulations affect their organization. With an enterprise compliance and risk management solution from Compliance.ai you can do exactly that.

There is significant pressure on margins: investors often conduct their own data analysis and seek better value funds with lower fees, driving behavior to operate more efficiently and keep operating costs low.

The product landscape for investors has diversified and become much more complex with the arrival of robo-advisors and investing apps.

Ongoing economic volatility and an increasingly complex regulatory environment means that energy companies find themselves facing more risk than ever before.

There are proactive and tangible steps that energy and commodities trading teams can take now to help ensure their firms are set up to succeed. Being on top of compliance obligations makes it possible to protect and even increase your competitive edge, and having the right solution is critical.

Compliance.ai delivers the market-leading enterprise compliance and risk management solution designed specifically for you.

  • Ongoing economic volatility and an increasingly complex regulatory environment means that energy and commodities traders companies find themselves facing more risk than ever before.
  • Compliance.ai automatically monitors regulatory updates from agencies such as the SEC, FINRA, UK-FCA, HK-MA, and EU-ESMA — but delivers only the content that is relevant to you.

Energy and commodities traders can also bring their own content including internal policies, procedures and controls into the platform to manage and report on changes across all types of regulatory content.

Benefits of Compliance.ai for Energy and Commodity Trading

Deliver Transparency and Smooth Your Transition

Mitigate compliance risk by deploying an RCM command center to gain insight into the regulatory change management and compliance functions.

Leverage the industry’s proven and trusted implementation methodology to move away from manual processes and meetings to adopt standardized and repeatable regulatory change management processes aligned to your specific risk and compliance model.

Scan the Horizon and Filter Out Noise

For Energy and Commodity Trading, Compliance.ai automatically monitors regulatory updates from agencies such as the SEC, FINRA, UK-FCA, HK-MA, and EU-ESMA — but delivers only the content that is relevant to you.

The information also includes guidance on topics important to you — such as Broker-Dealer, BSA/AML, Cybersecurity, Privacy, and Securities — published by CFA, CFTC, FIA, NAAIM, NAIC, and SIFMA.

Analyze Impact and Take Action

Compliance.ai’s Requirement & Obligation Analysis feature relieves the burden of line-by-line analysis. Instead, we automatically identify a summarized list of relevant obligations for regulatory changes. The capability automatically highlights differences in regulatory content across jurisdictions and identifies obligations and requirements. Bring Your Own Content helps automatically map regulatory requirements to your internal controls, policies, and business processes to identify and analyze the changes needed to ensure compliance.

Initiate Workflows and Break Down Silos

Our intuitive workflow technology promotes collaboration and ensures that all activities are monitored and completed.

Compliance.ai improves budgeting and resource planning by helping managers get an accurate read of workloads and important deadlines.

Collect Evidence and Speed Audits

SEC and FINRA audits and exams are a fact of life, but findings and enforcement actions don’t have to be. Our solution automatically collects evidence that obligations have been met and delivers accurate, third-party-certified reports to provide auditors with the assurance they need.

It’s time for world-class regulatory change management.

Get the AI-powered, expert-managed regtech solution designed for financial services enterprises.

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