Product Spotlight: Compliance monitoring tools for finance firms

In this Product Spotlight, learn about new compliance monitoring tools to help financial institutions meet regulatory and data reporting requirements.

AutoPilot for Dodd-Frank Compliance

Nastel Technologies, a provider of application performance monitoring products, has announced AutoPilot for Dodd-Frank Compliance. The new product, available for sale beginning April 30, is designed to help banks and brokerage businesses meet data monitoring and trade reporting compliance requirements.

AutoPilot for Dodd-Frank Compliance is intended to help financial institutions meet the evolving challenges imposed by real-time trade reporting requirements under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The trade reporting regulation requires the IT department, and the business as a whole, to ensure all trade lifecycle events are reported and acknowledged in a timely manner.

AutoPilot for Dodd-Frank Compliance provides the following features:

  • Transaction stitching: Real-time, automated stitching across the entire lifecycle of a reportable trade event, represented graphically as a series of milestones.
  • Execution time tracking: Retrieves message content and extracts the actual execution time as the trigger for the service-legal agreement (SLA) timer.
  • NACK management: Automatically detects all trades that do not contain a valid ACK milestone event.
  • Part 43 real-time reporting: Provides support for middleware, such as MQ, DataPower, TIBCO, Java and more. Integrates into the trade flow and contributes timestamps to the transaction-stitching process.
  • Monitor mandatory data: Enables the user to view the transaction at any point in the flow and to define conditional rules to check against the data in real time for immediate notification.
  • Reporting window: An advanced SLA capability that can track each reportable event against the appropriate time-based or event-based window. The SLA also incorporates holiday calendars and UTC timestamps.
  • Reconciliation: Reporting that enables Depository Trust and Clearing Corporation submissions and position reports to be automatically reconciled against the application monitoring data that has been gathered at the end of the business day.

Nastel Technologies' AutoPilot for Dodd-Frank Compliance will be available for purchase globally beginning April 30. Contact Charles Rich at 631-761-9100 or [email protected] with purchasing questions. For more information about Nastel Technologies and the company's products, visit

Orange Business Services - Trading Solutions, Bloomberg deliver cloud-based voice record archiving

Orange Business Services - Trading Solutions, in partnership with Bloomberg Vault, has announced an integrated voice offering in partnership to help customers manage voice recording and archiving. The collaboration integrates Bloomberg Vault, Bloomberg's cloud-based information management service for enterprise communications, with voice services from Orange Business Services - Trading Solutions to manage data stored by on-site voice recording systems.

Under the partnership, Orange Business Services - Trading Solutions enables the integration of voice data into Bloomberg Vault to produce electronic records in near real time. As record management guidelines and regulations become more complex, the new solution was created to meet the need for a cloud platform with features such as analytics, search, policy management and archiving of all data formats, including voice data, said company representatives.

Orange Business Services - Trading Solutions' voice capability will feed Bloomberg Vault with data from phone calls stored in the voice recording systems. Once Bloomberg Vault has archived this data, compliance personnel will be able to execute a single search across all data formats such as email, instant messages, Bloomberg messaging, mobile, social media, proprietary messaging formats and now voice records. This will enable the production of a consolidated, full recording of the transaction.

This integrated voice recording service is available to regulated industries that can also leverage new or existing voice recording infrastructures.

To find out more about Orange Business Services - Trading Solutions' voice services, please visit, or contact the sales team: Steve Fulton (London), [email protected] or Eric Barret (New York), [email protected]. To learn more about Bloomberg Vault, please visit, or contact Amy Wilson with Bloomberg Vault's sales team at 212.617.6580.

Do you know of new compliance products we should feature? Email us at [email protected].

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