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Compliance Wheelhouse

Complete Compliance Office Management

Policies & Procedures ▪ MiFID II ▪ Best Practices

Click on each module to see a breakdown of what they do.

A single flexible portal that brings your compliance team up to an entirely new level of efficiency.

Whether used as standalone modules or together as an integrated suite, these tools provide you with the easiest and most powerful compliance portal available.

Delivering Business Value

  • Demonstrate the maturity of the compliance function to regulators and investors by adopting a structured and sustainable approach to compliance management
  • Minimize the costs of compliance by streamlining controls
  • Avoid the risk of compliance violations, penalties, and reputational damage with timely insights on compliance readiness
  • Improve the efficiency of the compliance function by automating control assessments and testing
  • Proactively identify potential compliance risks through consistent and streamlined processes for control documentation, assessments, and testing
  • Improve business performance and decision-making through a unified and real-time view of the organization’s compliance status
  • Reach out to everyone involved in the compliance process with automated tasks, remediation plans, alerts, and reminders.
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About Castine

Since 1982, Castine LLC has provided Cloud-based and in-house solutions to the financial industry. Our C3 platform addresses Compliance, Commission Management, and Compensation and are in use by brokers, IRPs, asset managers, hedge funds, and investors worldwide. The Castine C3 platform of integrated modules lets clients focus on specific areas where gains can be quickly realized with the confidence that the suite can grow as their needs change. Modules include compliance operations (calendar, gifts and entertainment, trade errors, etc), due diligence and RFPs; CSA, RPA, and P&L-based commission management for the buy- and sell-side, including research consumption, pricing, and reviews; trader and adviser compensation, performance reporting, trend analysis, and profitability.

Offices in New Jersey, London, and Buenos Aires