PLIA by PLATO: Due-diligence and Counterparty Management Platform

PLIA by PLATO has the largest and most comprehensive compilation of relevant and timely due diligence questions related to best execution.  The platform, developed and operated by Urvin.Compliance, provides a controlled, secure, auditable environment for counterparty management and coordination. As the first application created for this purpose, the network of broker-dealers on the platform is the most comprehensive, not just in Europe, but globally.  Given the increased scrutiny on best execution and overall business transparency by regulators, asset owners, fund boards, and best execution committees, PLIA by PLATO provides a centralised platform to manage this for both buy-side and sell-side users.

By using PLIA by PLATO, European buy and sell-side market participants will be able to better communicate and understand important aspects of each others’ business.  Among the many areas that are supported in PLIA by PLATO would include:

  • Compliance policies, including trade monitoring, disclosure, and training
  • Dark pool operations, including routing, risk checks, and matching processes
  • Smart order routing strategies, including venue selection and customisation capabilities
  • Regulatory procedures, including disaster recovery, AML, and audit
  • Technology robustness, including venue connections, safeguards, market stress and kill switch capabilities
  • Trade outlier investigations and communication
  • One-time requests such as updating terms and conditions, attestations, and algo customization

The PLIA by PLATO utility is available to all asset managers and their counterparties and includes an unlimited number of questionnaires in a given region.

As a preferred partner to the Plato Partnership, a European Advisory Board comprised of Plato members and other key market participants helps to guide PLIA by PLATO development and functionality.

For more information, please contact