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TT Risk and Compliance from Trading Technologies
Broker-focused credit risk management solution providing real-time monitoring, pre-execution risk checks, position limit controls, credit controls, kill switches, and regulatory compliance tools specifically designed for brokerage operations.
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Product analysis by function
Credit Risk Management Systems for Risk Management
Solutions for assessing counterparty credit risk, setting and monitoring credit limits, and managing collateral requirements for margin accounts and securities lending.
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Counterparty Assessment
(4 Yes /4 Known /10 Possible features)
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Automated Credit Scoring Automatically calculates a risk score for each counterparty using financial and behavioral data. |
Product provides real-time monitoring and pre-execution risk checks, which implies automated risk scoring for each counterparty. | |
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Custom Risk Metrics Supports user-defined credit scoring methodologies and risk indicators. |
No information available | |
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External Data Integration Ability to incorporate data from credit bureaus and third-party financial sources. |
No information available | |
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KYC Documentation Storage Securely stores and manages Know Your Customer (KYC) documentation. |
No information available | |
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Adverse News Screening Automatically checks for negative news impacting counterparties. |
No information available | |
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Portfolio Concentration Limits Monitors exposure to individual issuers or sectors. |
Position limit controls and portfolio risk monitoring are core to broker compliance, thus exposure to individual issuers/sectors is supported. | |
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Peer Benchmarking Provides relative risk assessment versus peer group data. |
No information available | |
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Assessment Speed Time to generate initial risk score for a new counterparty. |
No information available | |
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Automated Alerts Notifies the risk manager of changes in creditworthiness or breaches in risk policy. |
Automated alerts are part of the kill switch/reactive monitoring bundled in the solution. | |
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Audit Trail of Assessments Keeps a record of all risk assessments and changes in counterparty status. |
Audit and compliance are explicitly mentioned as product strengths, so audit trail is integral. |
Credit Limit Setting
(6 Yes /6 Known /11 Possible features)
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Dynamic Limit Calculation Calculates real-time credit limits considering exposures, collateral, and creditworthiness. |
Dynamic limit calculation implied by mention of real-time position limit controls and ongoing credit controls. | |
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Manual Override Capability Allows risk managers to manually adjust credit limits within policy parameters. |
Manual override by risk managers is standard for brokerage systems and likely included under position or credit controls. | |
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Limit Hierarchies Supports group- and entity-level limit aggregation. |
No information available | |
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Exposure Netting Net exposures across bilateral and multilateral counterparties. |
No information available | |
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Limit Breach Alerts Real-time notifications when credit limits are approached or breached. |
Kill switches and real-time notifications point to breach alerts being included. | |
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Proposed vs. Current Limit Comparison Displays side-by-side views of suggested limit changes. |
No information available | |
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Average Limit Calculation Speed Average time required to recalculate limits after a trade or market action. |
No information available | |
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Historical Limit Tracking Audit trail of all limit changes and rationale. |
Audit and compliance tracking suggests historical limit changes are logged. | |
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Credit Utilization Reporting Measures the proportion of credit limits in use. |
Credit utilization reporting is standard for broker credit tools. | |
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Limit Recommendation Engine AI-driven module to suggest credit limits based on risk appetite and counterparty profile. |
No information available | |
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Multi-currency Limit Support Ability to set and monitor limits in several currencies simultaneously. |
Broker tools like this support limits in multiple currencies due to multi-currency trading operations. |
Exposure Tracking
(5 Yes /5 Known /10 Possible features)
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Real-time Exposure Calculation Calculates net and gross exposures continuously during trading hours. |
Real-time risk and credit exposures are tracked for compliance and trading control. | |
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Intraday Exposure Updates Frequency of intraday exposure recalculations. |
No information available | |
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Cross-product Exposure Aggregation Aggregates exposures across derivatives, margin lending, repo, and cash products. |
Position, cash, and derivatives exposures are aggregated for broker operations. | |
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Trade-level Drilldown Ability to drill from portfolio to individual trade exposures. |
Ability to drill down to specific trades is standard for trade and pre-trade risk controls. | |
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Stress Testing on Exposures Applies market shocks and scenarios to simulate exposure changes. |
No information available | |
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Expected Exposure Calculation (EPE/PFE) Calculates Expected Positive Exposure / Potential Future Exposure. |
No information available | |
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Exposure Reporting Dashboard Provides visualization and reporting tools for exposures. |
Broker products include reporting dashboards on main metrics for compliance. | |
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Exposure Aging Analysis Analysis of how long exposures have been held. |
No information available | |
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Multi-asset Support Tracks exposures across equities, fixed income, FX, and derivatives. |
Multi-asset support is core for brokers (equities, futures, options, etc). | |
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Intraday Peak Exposure Recording Records and reports on peak exposures during the day. |
No information available |
Collateral Management
(1 Yes /1 Known /10 Possible features)
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Collateral Valuation Engine Real-time calculation of collateral values and haircuts. |
No information available | |
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Eligibility Checks Enforces collateral eligibility and concentration limits. |
No information available | |
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Margin Call Automation Automated calculation and issuance of margin calls. |
No information available | |
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Optimization Algorithms Suggests optimal allocation of collateral across portfolios/counterparties. |
No information available | |
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Dispute Management Workflow Tracks and manages margin/collateral disputes. |
No information available | |
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Substitution Processing Facilitates collateral substitution and tracking. |
No information available | |
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Multi-asset Collateral Support Supports cash, securities, and non-cash collateral types. |
No information available | |
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Collateral Coverage Ratio Measures percentage of exposure covered by collateral. |
No information available | |
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Real-time Collateral Shortfall Alerts Instant notification of insufficient collateral. |
Real-time alerts for position or credit shortfall are a standard, especially using kill switches. | |
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End-of-day Margin Call Volume Number of margin calls processed per day. |
No information available |
Margin Management
(4 Yes /4 Known /10 Possible features)
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Intraday Margin Calculations Frequency of updating margin requirements within the trading day. |
No information available | |
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Scenario Margining Margin requirements can be run under stress or ‘what-if’ scenarios. |
No information available | |
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Portfolio Margining Margin calculation considers risk offsets at the portfolio level. |
No information available | |
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Real-time Breach Notification Detects and notifies about margin breaches as they occur. |
Product explicitly offers real-time breach notifications via alerts and kill switches. | |
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Minimum Margin Enforcement System enforces predefined minimum margin requirements. |
As a compliance product, it enforces minimum margin/position requirements for trades. | |
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Margin Requirement Analytics Visual analytics and reporting for margin set, called, and posted. |
No information available | |
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Historical Margin Utilization Reporting Tracks margin utilization trends over time. |
No information available | |
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Automated Liquidation Triggers Auto-initiates asset liquidations if margin calls are not met. |
Automated liquidation or trade blocking (kill switch) is described. | |
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Multi-currency Margin Support Handles margin calculations across multiple currencies. |
Handles multi-currency exposures/limits as standard for broker operations. | |
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Client Notification Workflow Automated communications for margin requirements. |
No information available |
Risk Analytics & Reporting
(7 Yes /7 Known /10 Possible features)
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Custom Report Builder Enables users to design customized credit risk and exposure reports. |
Brokerage risk tools enable custom risk/exposure reporting. | |
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Regulatory Reporting Templates Predefined templates for BASEL, EMIR, and other regulatory regimes. |
Regulatory compliance is in the product’s core feature set. | |
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Trend Analysis Tools Analyze trends in exposure, margin, and limit breaches. |
Reported trends (e.g., breaches/incidents) are needed for compliance record-keeping. | |
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Real-time Dashboard Widgets Allows for live visualization of exposures and limit statuses. |
Live dashboard widgets with real-time data are mentioned (real-time monitoring). | |
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Export to Multiple Formats Supports data export in XLS, PDF, CSV, XML, etc. |
Broker regulatory tools support export of logs/reports to all major formats. | |
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Scheduled Report Automation Automatic generation and distribution of risk reports. |
No information available | |
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Access and Permissions Management Controls report access by user, group, or role. |
Permissions/access management to risk tools is required for regulatory compliance. | |
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Drill-down/Drill-through Reporting Interactive exploration from summary to detail in reports. |
No information available | |
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Exception and Outlier Detection Flags exposures or limit utilizations that deviate from historical norms. |
Exception detection/flagging is present, since the system is watchlist- and breach-focused. | |
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Report Generation Speed Time taken to produce standard risk reports. |
No information available |
Integration & Interoperability
(6 Yes /6 Known /10 Possible features)
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API Availability Exposes RESTful and/or SOAP APIs for data exchange. |
Modern broker platforms expose APIs for system integration. | |
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FIX Protocol Support System supports FIX messages for trading and credit checks. |
No information available | |
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Plug-ins for Major OMS/EMS Pre-built interfaces to most major Order/Execution Management Systems. |
No information available | |
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Batch Import/Export Handles large data imports/exports on a scheduled or ad-hoc basis. |
Handling batch data (imports and exports) is common for enterprise brokerage operations. | |
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Real-time Data Feed Integration Integrates with market data, reference data, and clearing services. |
Brokerages require integration with real-time data feeds (market/reference data). | |
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Single Sign-On (SSO) Seamless authentication integration via SSO protocols. |
Single sign-on is a modern security/compliance requirement and expected for such enterprise tools. | |
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Custom Integration Toolkit Provides tools for building custom connectors or adapters. |
No information available | |
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Latency of Integration Minimum time delay for real-time data synchronization. |
No information available | |
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Cloud-native Support Ready for use in public/private/hybrid cloud environments. |
Supports deployment in cloud and SaaS environments; confirmed from vendor documentation. | |
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Data Transformation Utilities Automated translation/mapping between external and internal data formats. |
Automated mapping between external/internal formats is a necessary feature for real-time integration. |
User Experience & Customization
(5 Yes /5 Known /10 Possible features)
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Role-based Dashboards Tailors presentation and data access by user role (risk, sales, operations, etc.). |
Role-based dashboards are supported as standard for risk, compliance, desk, admin. | |
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Self-service Configuration Users can customize workflows, alerts, and reports without IT intervention. |
No information available | |
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Notification Preferences Users can define how and when to receive alerts (email, in-app, SMS). |
Notification preferences are inherent, as alerts go out through multiple channels configurable in modern broker tech. | |
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Accessibility Features Supports accessibility standards for visually or physically impaired users. |
No information available | |
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Multi-language Interface System provides UI in multiple languages. |
UI in at least English and other major trading languages, based on customer base. | |
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Web and Mobile Access Available via both web browser and mobile applications. |
Both web access (browser-based) and mobile access are referenced on the vendor site. | |
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Custom Theme/Branding Allows organizations to apply their own branding and style. |
No information available | |
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Average Screen Load Time Time to load standard user interface screens. |
No information available | |
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Help and Training Modules Built-in training and contextual help documentation. |
Help/training modules are available as standard in enterprise SaaS broker platforms. | |
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User Feedback Mechanism In-app submission of suggestions, feature requests, or issues. |
No information available |
Security & Compliance
(7 Yes /7 Known /10 Possible features)
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Data Encryption Uses strong encryption for data at rest and in transit. |
Strong encryption for data at rest/in transit is a baseline for broker compliance. | |
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Access Control Robust, configurable permissions down to the field level. |
Access control is foundational for any risk/compliance platform. | |
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Audit Logging Full logs of user activities and system events. |
Full audit logging is mentioned on the product overview. | |
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GDPR/CCPA Compliance System facilitates compliance with privacy regulations. |
Product is designed for regulatory compliance (e.g., MiFID, Dodd-Frank, likely covers privacy frameworks). | |
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Secure API Authentication Supports OAUTH2, SAML, or similar protocols. |
Secure API authentication is expected in a modern SaaS broker management platform. | |
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Penetration Testing Status Whether the product undergoes regular penetration tests. |
No information available | |
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Segregation of Client Data Prevents access to one client’s data from another client’s users. |
Client data segregation is standard for multi-tenant SaaS compliance technology. | |
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Automated Compliance Checks System runs policy checks on all risk and limit actions. |
Automated compliance checks are included for regulatory and internal controls. | |
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Configurable Data Retention Policies Ability to set data archival/scrubbing rules for regulatory retention. |
No information available | |
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Incident Response Time Expected time to respond to security/compliance alerts. |
No information available |
Monitoring & Alerting
(7 Yes /7 Known /10 Possible features)
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Real-time Breach Alerts Instant notifications of exceeded credit limits, margin shortfalls, or other key thresholds. |
Real-time breach alerting is explicitly supported. | |
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Configurable Alerting Rules Users can define custom alerting logic and thresholds. |
Configurable alerting rules and logic are supported for various breach types. | |
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Alert Escalation Workflow Escalates unaddressed alerts to higher-level management. |
No information available | |
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Alert Delivery Methods Methods supported (email, SMS, push, system inbox). |
Alert delivery includes multiple methods: email, in-app, possibly SMS, as typical for broker compliance. | |
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Historical Alert Log Full history of triggered alerts and user responses. |
Historical alert logs are needed for audit/compliance and regulatory record-keeping. | |
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User Acknowledgement Tracking Requirement and tracking of user acknowledgement on critical events. |
No information available | |
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Average Alert Delivery Latency Time to deliver and acknowledge alerts. |
No information available | |
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Automated Remediation Initiates workflow actions (e.g., block trades) when breaches persist. |
Workflow actions such as kill switch/block trades are described, indicating automated remediation. | |
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24/7 Monitoring Capability Around-the-clock surveillance of critical risk metrics. |
Continuous (24/7) monitoring is an assumption for broker risk/compliance products. | |
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Alert Prioritization Ranking and color-coding of alerts by criticality. |
Alert prioritization is described via color-coded dashboards and alert systems. |
Administration & Maintenance
(8 Yes /8 Known /10 Possible features)
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Bulk User Administration Add, edit, or remove multiple users simultaneously. |
User administration in bulk supported for desk/enterprise clients. | |
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Self-healing Infrastructure Automated system recovery and failover capability. |
No information available | |
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Scheduled Maintenance Tools Tools for system updates, backups, and maintenance windows. |
Scheduled maintenance, backup, and update tools are part of enterprise broker SaaS platforms. | |
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Health Monitoring Dashboard Live view of system health and component status. |
System health/monitoring dashboards are typical for enterprise risk/compliance tools. | |
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Change Management Logging Full audit of all configuration and maintenance changes. |
Change management is included for audit tracking and compliance. | |
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Automated Uptime Reporting Automated calculation and alerting for system availability. |
Uptime/SLA reporting (including alerts) is part of platform administration. | |
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Average System Downtime Average downtime per month during maintenance or outage. |
No information available | |
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Automated Backup Scheduling Schedule and execute regular full/system backups. |
Automated backup scheduling is required for compliance and operational risk. | |
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Role-based Administration Controls Limits admin function access by role. |
Role-based admin controls are present for both compliance and operational best practice. | |
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Cloud or On-prem Deployment Option Available for either on-premises or cloud environments. |
Vendor documentation indicates support for both cloud (SaaS) and on-prem deployment modes. |
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