Features
Core Features
Through our PLIA Compliance Platform, we provide integrations into most of your counterparties. Let us help streamline your due diligence and broker evaluation and seamlessly integrate into your existing best execution processes.
Counterparty Management
Customized questionnaires or "data requests" for due diligence information from your counterparties.
Standardized Questionnaires
We ensure you’re asking the right questions for the US and Europe that brokers can easily access.
Questionnaire Assessment
We can review due diligence responses and provide a risk assessment relative to your firm’s requirements.
Information Management
Support best execution, counterparty communication, and documentation or information exchange.
Due Diligence Services
PLIA can help you manage your counterparties by taking over your due diligence and RFIs.
Best Execution Advisement
Review best execution policies, procedures and practices and assess capabilities relative to peers.
Regulatory Risk Assessment
Assess existing compliance systems, including your policy manual and written compliance programs.
The Global Standard
The Plato Partnership chose PLIA as the global standard for due diligence and counterparty management.
Use Cases
Use Cases
The PLIA platform is flexible and can be used for several different compliance purposes. Investment advisors and brokers both face challenges in their due diligence and best execution processes, and PLIA has been used in several ways to address these.
Risk Assessment
Investment Advisors face an increasingly perilous trading environment. Counterparty trading technology has increased in sophistication, as has the opaqueness of their trading operations. Conflicts-of-interest abound, and enforcement actions have increasingly focused on disclosure problems. PLIA can be used to identify and mitigate these risks, and to grade counterparties in an objective and unbiased manner.
Due Diligence
The increasing complexity and sophistication of electronic trading systems has created the need for more transparency and depth of counterparty operational understanding by investment managers. This understanding is necessary so investment managers and their broker dealers can better protect their organizations from operational and reputational risk that may arise due to inconsistent application of, or lack of best practices. PLIA’s modern approach with standardized questionnaires is the best way to approach due diligence.
Best Execution
PLIA can help both Investment Advisors and Brokers to replace informal and haphazard processes with a new standard of organization and management. Whether you're focused on MiFID II / SFC Code of Conduct, or you're in the US and trying to navigate vague regulation and guidance, PLIA has features and tools to help.
Regulatory Compliance
PLIA has been used for regulatory compliance in the US, Europe and Asia. This includes for MiFID II, the SFC Code of Conduct, and US SEC requirements around Best Execution.
BILL STEPHENSON - FOUNDER, AIR SUMMIT Read Case StudyWith the significant amount of due diligence, risk monitoring and oversight required as part of a modern best execution process, we believe the Urvin.Compliance platform can be enhanced to meet the current and future needs of industry participants.
Thoughts
AI Thoughts + Insights
Case Study
Legal Document Management and Robotic Process Automation
Urvin was approached by a Fortune 500 company whose in-house legal team was struggling with the volume of legal contracts that they had to review.
Press Release
Urvin Acquires PLIA Compliance Platform from Trade Informatics
Urvin.Compliance, a newly-launched fintech to address the industry challenges related to governance, due-diligence and compliance, today announced that it has acquired the PLIA compliance platform from Trade Informatics.
Thought
Implementing AI: Where do I start?
One of the most common questions we encounter when meeting new firms is how to adopt and start using AI and other analytics technologies.