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Lumesis, Inc. is a financial technology company focused on providing best-in-class regulatory and compliance solutions to the municipal bond marketplace. The DIVER platform is helping hundreds of firms and over 42,000 users efficiently meet evolving regulatory needs. Our solutions include:

  • DIVER Underwriter – DIVER Underwriter is a comprehensive platform to support diligence requirements and increase Underwriters’ efficiency, allowing firms to meet regulatory obligations and increase business opportunities. This solution is integrated into the Underwriter’s workflow enabling them to efficiently perform required 15c2-12 diligence consistent with their firm’s policies and procedures so that regulatory compliance does not limit the number of deals they bid. Post-MCDC 15c2-12 Diligence and Workflow Solution
  • DIVER Advisor – Our clients use DIVER Advisor to satisfy MSRB Time of Trade Disclosure (G-47), Supervision (G-27) and Suitability (G-19) rules for all new issue and secondary municipal bonds for retail and non-SMMP clients. Advisor offers a simple way to access required information for disclosure and to memorialize the actions taken. It also provides a portfolio surveillance tool and a simple way to deliver credit notes and research relevant to the position of interest.

For more information, contact us at 203.276.6500, at inquiries@lumesis.com or visit our website at http://www.lumesis.com.