Quiet Period Monitoring And Management System
The Quiet Period Monitoring and Management System provides oversight and management capabilities for companies subject to regulation regarding the allowable time periods around public offerings when financial research products can be published. The system provides the abilities to assign quiet periods to specific issuers and to link those assignments to the research coverage universe and covering analyst teams. The capabilities offered by the system also provide for various attribute-based reporting options and full integration with document workflow systems to ensure that research production is appropriately controlled in association with quiet period lockouts.
Features
Quiet Period Maintenance
This set of features provides abilities to add and edit quiet periods relevant to initial and secondary offerings. Various user roles may access this feature set in whole or in part to create and modify content and attributes relevant to offering and issuer association.
Compliance Review Request and Override Feature
This feature provides the ability for a compliance officer to review a request to override the quiet period lockout affecting a research product and to grant or deny the request.
Web Service API
The system includes its own web service API providing quick and easy data integration by entitled consumers of quiet period information to provide reporting through various interfaces and integration with other systems and processes for any number of uses such as workflow management, alert messaging, audit tracking and more.
