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Streamlining the work of disclosure for municipal bond dealers
Municipal bond dealers bear a growing burden of disclosure-related regulatory compliance. In previous years when munis were regarded as predictably safe, mere access to officially filed disclosures was the standard. Today, FINRA guidance on MSRB Rule G-17 requires dealers to discover and analyze not just official filings, but any relevant publicly available information.
The time and costs required for these efforts can be significant, as can be the operational impact of establishing policies and processes that will stand up to regulatory scrutiny. What often results are inefficient patchworks of sources and record-keeping.
DPC DATA has solutions to address muni dealers’ disclosure challenges
Underwriter Due Diligence – Filings Summary is a premium research and reporting tool that quickly and accurately compiles a bond issuer’s disclosure history. It is essential part of evaluating an issuer’s past reporting obligations over the last 5 years.
Point of Sale Disclosure – MuniPOINTS concise bond descriptions streamline bond research and are easily shared with customers, while MuniDOCS Online offers access to current and historical official filings for both issue and obligor, even when filed under a new CUSIP
Expanded Discovery – MuniGUARD News gets dealers closer to emerging credit risk issues with timely and relevant news filtered from more than 580 local and regional news sources, not only linked to CUSIP but identified by relevancy.
Ongoing Surveillance – MuniGUARD Professional is the most comprehensive and customizable surveillance service available, providing feeds of default-related material events as they are filed and other market events dealers may be tracking, all with the same care for validation and correct identification that is the DPC DATA hallmark.
Seamless Integration – All DPC DATA solutions are designed to fit into your everyday workflow. Integration is simple, rapid and CUSIP-linked in your trading and research systems.
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Let us help you turn the headaches of disclosure compliance into clear-cut solutions that add value to your muni business from sales to risk management to profits.