Lotsoff automates compliance with Dataware's PTAconnect
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The PTAconnect product automates internal compliance rules; regulations from the US Securities and Exchange Commission and National Association of Securities Dealers; Investment Company Institute recommendations and Sarbanes-Oxley rules from pre-clearance to certification, confirmation and reporting.
Lotsoff opted for Dataware's system in order to automate employee transaction surveillance and reporting without having to develop or install more expensive IT components.
Rich DeMatteo, chief ope
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