Securities Solutions

Our securities solutions are focused on addressing the business needs of broker-dealers, trust banks, asset managers, investment advisers, fund (mutual and hedge) managers, and law firms.

Advisory Tools

GainsKeeper for advisors and accountants encapsulates GainsKeeper's powerful portfolio management services in a product designed specifically for CPAs, financial advisors, planners, and tax preparers. Professionals can use GainsKeeper to create and maintain individual client accounts or to link existing individual investor GainsKeeper accounts. GainsKeeper for advisors and accountants provides the option to share access to specific client portfolios and to analyze and prepare individual gain/loss reports for each client portfolio, depending on the specific tax filing needs of your clients.

Corporate Actions

BasisPro™ is a GainsKeeper product specifically designed as a cost basis solution for financial advisors, planners, tax preparers, brokers, back offices, and individual investors. BasisPro provides clients with sophisticated cost basis information and eliminates inaccuracies in cost basis reporting by providing an application to efficiently calculate this information. With BasisPro, users can obtain historical corporate action data back to 1950 and generate detailed customized cost basis reports.

Even seemingly simple corporate actions present hidden tax issues and risks, and an increasing number of sophisticated corporate events and transactions raise unique questions that the financial community needs to answer. Capital Changes provides the definitive facts and figures in answering the tax consequences of capital events, calculating gains or losses resulting from a taxable transactions as well as adjustments to cost basis resulting from a nontaxable transaction.

With timeliness and accuracy becoming more of a standard rather than a competitive advantage, Capital Changes integrates best in class technology and time tested analysis and guidance from tax and legal editors, whose experience and insight demystifies the complexity of the corporate actions life cycle.

Compliance News & Analysis

Enhance your compliance program by staying current with regular updates and access to the most up-to-date and comprehensive source of securities laws, regulations, industry news and analysis with our Compliance Resource Network. Written for compliance professionals by compliance and regulatory experts, our Compliance Resource Network is the industry’s most trusted leader in serving the financial services community for over 65 years.

With its flagship online platform, cchwallstreet.com, subscribers can have access to a suite of rich databases and resources that offers exclusive compliance insight and in-depth analysis on the ever-changing regulatory environment. Whether you need to keep abreast of the latest hedge fund court ruling or recent announcements from the SEC, our Compliance Resource Network is there to keep you informed.

Employee Personal Trade Surveillance

One of the chief concerns of compliance officers today is the difficulty of monitoring personal trading activities of employees in accordance with best practice and industry regulations such as SEC Rule 17j-1 and 204A-1. Examiner, the industry’s pioneering solution, automates the surveillance process and enables your firm’s compliance department to effectively monitor employee personal trading activity.

Examiner provides the essential tools necessary to customize and address personal trading practices and processes. Employee trade requests are submitted, evaluated, approved, confirmed and archived effortlessly adding confidence and control to your overall compliance program. 

Policies & Procedures

Alleviate the burden of maintaining your firm’s policies and procedures manuals. Authored by leading compliance experts and legal contributors, our Policies & Procedures offer the most complete resource designed to enhance the foundation of your compliance program. Using our simple step-by-step process, you can assemble it, revise it, publish it and distribute it with ease.

From our comprehensive compliance manual tailored towards broker-dealers to the authoritative manual developed specifically for investment adviser and with their latest compliance manual for hedge funds, we offer the financial services community with unique tools to meet today’s most challenging regulatory compliance and requirements.

Regulatory Reference

Access the most up-to-date laws, regulations, and securities industry news from federal and state regulatory agencies, along with the NASD and every major U.S. exchange. Written by experts with industry-leading experience, these affordable and user-friendly titles offer forms, explanation and full-text reporting to help you understand and remain compliant with the gamut of SEC and state regulations that affect your firm’s operations.

Available in a variety of formats including print, online and CD-ROM, Compliance Resource Network provides a full suite of resources to guide you through the complex and ever-changing maze of federal, State and exchanges/SROs regulations. With official rules, policies, constitutions, member directories and more, these authoritative, up-to-date guides are an indispensable reference library for you and your business.

Tax Reporting

GainsKeeper provides automated tax-based financial tools and services to the investment community. GainsKeeper solutions enable financial institutions to offer sophisticated tax lot accounting services to their customers, ranging from back-office outsourcing to fully integrated, Web-based tools and services utilized by the brokerage, mutual fund, and fund administration industries.