With regulations such as Sarbanes Oxley requiring greater corporate governance, new procedures and processes must be introduced to ensure senior management can sign off true positions. To support this requirement, SmartStream TLM's workflow capabilities enable the auditable checkpoints and snapshots needed in the transaction process.

This ensures human interaction only occurs at the appropriate point in the process, supporting a compliant sign-off procedure. TLM's point-in-time workflow model can retain account views for any given time on a value date and posted date basis, to ensure all back-valued adjustments are auditable.

In addition to the rich audit and control capabilities central to every TLM product and solution, SmartStream also produce software solutions to address specific compliance challenges. TLM Client Money provides firms with the visibility and control needed to understand positions, assets and liabilities in order to help reduce operational risk in the client account segregation process.