Exchanges are in a battle for their survival – governance and compliance are key.

Challenge

In the “good old days” exchanges had an easy life, firms would list on their local exchange and local investors would trade through local brokers (who often owned the exchange).

How things have changed!

Every exchange is in a battle for survival as technology has commoditized trading and globalization has “localized the world”.

Maestro-Solution

Stock exchanges can use GRC-Maestro as an efficient and low-cost solution to monitor and manage their own regulated activities, brokers and listed firms.

Every exchange is having to raise compliance and governance standards:

Regulated Business

In many jurisdictions the exchanges have gone from being self-regulated to being formally regulated by statutory laws and financial regulators.

Brokers

It is essential that market participants comply with trading rules to ensure an orderly and transparent market.

Listed Firms

Monitoring the compliance of firms quoted on the exchange with listing rules is critical to the reputation of the exchange.

Indices

Ensuring that the methodology behind indices is periodically reviewed and that checks and controls are in place around each index.

GRC-Maestro

Prove Compliance – Evidence your Governance, Risk & Compliance (GRC)

Automate GRC – Run manual checks and processes automatically

Low Cost – Quick and easy to use + low pricing