The Restricted List Management solution enables your firm to maintain a clear, accurate, and up-to-date view of clients, affiliates, and other related entities that are subject to regulatory or firm-defined restrictions. The solution secures a single source of truth for entity records, ownership structures, and affiliate relationships that support meeting your firm’s risk and independence obligations. With entity relationships managed and validated in one place, your firm can consistently identify when restrictions apply and ensure they are reflected across acceptance, conflicts, and service approval processes.

By automating how restricted entities are identified, maintained, and applied, the solution reduces the manual effort and risk associated with disconnected systems. Unique rulesets (e.g. SEC, IESBA PIE, EU PIE, FRC) are provided out of the box to apply to your client hierarchies. Restricted status is automatically surfaced in search and within downstream workflows, ensuring the most current information is used whenever your firm evaluates new opportunities or reassesses existing relationships, helping meet your firm’s regulatory obligations at every decision point. This enables your teams to prevent impermissible services, strengthen governance, and operate with greater confidence and efficiency.