SmartStream wins TLM Reconciliations SEC contract
23 September 2014 Washington DC
Image: Shutterstock
SmartStream has been awarded a contract by the US 麻豆传媒 and Exchange Commission (SEC) to furnish SmartStream鈥檚 TLM Reconciliations Premium solution to the SEC鈥檚 office of compliance inspection and examinations (OCIE).
The SEC will use TLM Reconciliations to support the OCIE鈥檚 nationwide examination and inspection programme for registered self-regulatory organisations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers.
As well as TLM Reconciliations, SEC also has access to TLM SmartRecs and will use data delivered by Morningstar鈥檚 ByAllAcounts.
The TLM Reconciliations will be used in Washington DC as well as 11 regional offices across the US.
Phillppe Chambadal, CEO for SmartStream, said: 鈥淲e are very excited to have the primary US regulatory agency using our solutions to support the work of its office of compliance inspections and examinations.鈥�
James Carney, president of ByAllAcounts, said: 鈥淯sing ByAllAcounts data, SmartStream has created an innovative approach that the SEC intends to utilise in facilitating its examination and inspection programme.鈥�
The SEC will use TLM Reconciliations to support the OCIE鈥檚 nationwide examination and inspection programme for registered self-regulatory organisations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers.
As well as TLM Reconciliations, SEC also has access to TLM SmartRecs and will use data delivered by Morningstar鈥檚 ByAllAcounts.
The TLM Reconciliations will be used in Washington DC as well as 11 regional offices across the US.
Phillppe Chambadal, CEO for SmartStream, said: 鈥淲e are very excited to have the primary US regulatory agency using our solutions to support the work of its office of compliance inspections and examinations.鈥�
James Carney, president of ByAllAcounts, said: 鈥淯sing ByAllAcounts data, SmartStream has created an innovative approach that the SEC intends to utilise in facilitating its examination and inspection programme.鈥�
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