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Trade Sentry thoroughly documents your best efforts compliance review.

Trade Sentry offers compliance professionals the ability to easily annotate and record exceptions with any corrective actions and/or comments.

SEC 11Ac1-5 and 11Ac1-6 Reports
The information gathered and analyzed by Trade Sentry far exceeds the requirements of the SEC 11Ac1-5 and 11Ac1-6 reports.

Trade Sentry prepares, in real-time, both reports on a daily, monthly, quarterly, and yearly basis.

Trade Sentry makes compliance supervision, verification, and follow-up an integrated process. Exception memo fields provide the basis for best effort reporting, perfect for internal accountability.




 
Users can annotate and document exceptions in an integrated fashion.

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