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The Compliance Appliance™


What is the Compliance Appliance?

The Compliance Appliance™ is Robolitics™ in a Box. It provides the same regulatory coverage for 

  • MiFID 2 - Evidencing Transparency and best execution
  • MAD/MAR2 – Providing market and trader malfeasance transparency
  • AML / Financial Crime - Complex heuristics for identifying patterns of abuse
  • BCBS239 – Data quality management and evidencing

The Compliance Appliance is delivered in association with our partner as a preconfigured hardware solution, which you integrate into your data flows. It can be installed within your own technology infrastructure or hosted at our partner data centre.

It still provides the power to manage and analyse trades, quotes, and pricing, and to parameterise the algorithms to your business operation without the need for a large compliance to oversee and control behaviour.  

You pay a monthly subscription, and we ensure that the algorithms comply and are current and aligned to the ever-changing regulatory environment.    

Compliance As A Service

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Compliance Appl­iance is the first CAAS (Compliance As A Service) solution.  Our unique data model enables us to quickly map data into the Compliance Appliance, and our consulting service will quickly help you to understand what you need to monitor and how to set the parameters for each robot to align them for your business. 

Our consulting team and partners will help you with the initial installation and the initial configuration, and will then tune the algorithms to suit the unique nature of your business.  Our team will also support you over time as needed with:

  • Understanding and managing changes to the regulations
  • Tuning your Robolitics solution to optimise efficiency and effectiveness and minimise headcount costs
  • Support you in responding to requests for information
  • Support you in creating reports from the system to better understand your business and trading environment.

Who should buy the Compliance Appliance?

Compliance isn’t a competitive advantage; it’s a competitive cost.  You need to comply with regulations as part of the cost of doing business. The logic behind the Compliance Appliance is reduction in the cost of this overhead that also provides you with a market-leading solution.

Since the Compliance Appliance™ can be installed within your infrastructure or as a hosted solution, it is suitable for:

  • International, Regional, and National banks
  • Brokerages
  • Asset Managers and sell-side businesses
  • Fund mangers
  • Hedge funds
  • Wealth managers
  • Insurance companies.

Our consultants will then assist you in setting up and configuring the monitoring “Robots” as appropriate to your business and perform ongoing work to tune the system to optimise costs.

This removes the need for alternative labour-intensive processes in which people and cost are thrown at the compliance problem. The manual ticking and bashing and process supervision costs have become unsustainable.

Tier 1 institutions have the resources, time, and financial imperative for bespoke solutions accelerated by the use of Robolitics to meet specific compliance requirements.  

The Benefits of the “Compliance Appliance”

It reduces costs – Compliance Appliance™ is an alternative to the labour-intensive process in which people and cost are thrown at the compliance problem; manual ticking and bashing and process supervision costs have become unsustainable.

Rapidly installed – The appliance is an easy to implement turnkey solution that can be installed on-site or employed as a cloud-based solution. It consists of pre-built but parameterised algorithms to meet the regulatory recommendation for bespoke rules.  The client will then be supported in algorithm configurations through the GUI.

Sophisticated but simple data model - Installation is significantly easier than competitive or bespoke solutions that require fields mapping from trading and golden source systems via an enhanced FPML model.

Keeps you up to date - Our update model is more like an application upgrade on a mobile device. It is unlike more traditional, longwinded, and expensive upgrade processes. 

Provides regulatory sophistication - It delivers the sophistication of a large global bank’s regulatory team at a fraction of the cost through a “Compliance As A Service” license, providing you complete a regulatory roadmap to make the process of incorporating new regulations or new guidelines painless.

Simple to use Workflows and Intuitive User Interfaces – The alerting platform and user interface makes the management of issues simple and ensures that the escalation of near misses. Reportable incidents can then be operated from within the system or linked to an internal case management system or via email alerting.