Events Description: An effective compliance program requires constant monitoring – a daily, time-consuming task. What if your compliance software solution could automate monitoring and flag risks for review, so you could spend more time building your business? Client Oversight by Orion Compliance offers first-of-its-kind continuous monitoring of critical client-related pain points. With Client Oversight, you can streamline the detection and reporting of potential vulnerabilities with the following: 1) Pre-trade compliance. Check transactions allocated and update models against relevant policies such as restricted lists, leveraged ETFs, and escalation capabilities. Available via integration with Orion Eclipse. 2) Share Class Alerts (SCSD). Ongoing analysis determines if a cheaper mutual fund share class is available at the client’s custodian. Receive an alert when one is found. 3) Ownership Alerts (13D/G). Get notified when more than 5% of a public company’s shares are acquired by the firm. 4) Large Trader Alerts (13H). Learn when a transaction volume or amount equals or exceeds the rule’s established thresholds within a daily or monthly time frame. Kylee Beach, General Counsel at Orion Advisor Solutions, and Louis Giannini Director, Product – Compliance, detail how Client Oversight by Orion Compliance can automate manual compliance processes, reduce room for error, and free up your team to nurture your valuable client relationships that fuel growth.