COMPLIANCE MANAGEMENT FOR
BROKER-DEALERS AND RIAS
Now, more than ever, you need robust regulatory technology to navigate the evolving rules and regulations of the financial services industry. We help wealth management firms comply with regulations swiftly and efficiently.
We continually enhance our trade surveillance, reporting, and compliance solutions to ensure our customers remain compliant with the financial industry’s changing landscape. From AML to Reg BI compliance, we are there to make sure regulatory requirements are met.
The increasing cost of compliance–in time and money–is something broker-dealers face every day. Manual processes lack the ability to effectively and efficiently conduct surveillance and monitoring as well as customer identification and AML programs. Respond to regulatory requests with ease and speed, as well as conduct internal investigations and audits. Your firm is at risk when business is not conducted in compliance with regulations.
- Monitor active trading
- AML compliance tools
- Risk based trade review
- Surveillance of variable annuity switches
- Track trade cancellations
- Daily trade blotter for advisors
- License management
- Books & Records managment
- Written correspondence tools
- Web EFT and RegEd integration
ENFORCE SUPERVISORY PROCEDURES
Our compliance management solution provides interactive rule and exception based reporting automates financial firms compliance and supervision processes. A core piece of our compliance solution is a comprehensive suite of exception reports that provide the necessary tools to conduct trade oversight and suitability review.
Trade Blotter and Compliance Report reviews are tracked. Linked with Compensation and Commission Processing, licensing rules for paying commissions are automatically enforced.
We support regulatory rule compliance management for customer account records and correspondence (SEC Rule 17a-3). Additionally, supervisory policies and procedures (FINRA Rule 3110) are simpler to enforce in your firm via automated trade surveillance and audit trails.