About us

The Promise of Compliance Data Analytics, the Knowledge of Regulators

In our years of experience working with regulators and financial service providers, we saw that traditional “big-box” compliance audit systems were either prohibitively expensive or lacking Compliance Data Analytics features needed by the financial community. Compliance Departments with limited resources and smaller firms not employing their own compliance officers were especially underserved.

BDSential is a collaborative effort between former FINRA, NYSE Regulators and leading-edge Innovators in software technology to create a compliance audit solution to address this issue.

Automated Compliance Management: Save Time, Reduce Costs

The result is a cloud-based Compliance Audit Management with Data Analytics platform (SaaS) that addresses the Audit Management, Compliance Management and Compliance Data Analytics needs of Registered Broker-Dealers and other members of the Financial Industry including Investment Advisers, Hedge Funds and Private Equity Firms.

Collect, Analyze and Report Compliance Data Efficiently:

  • Intuitive Audit Processes to streamline workflow
  • Standardized Audit Content to create consistent work product
  • Corrective Action Tracking to avoid repeat violations
  • Compliance Analytics to identify violations patterns and trends and assess audit risk
  • Compliance Dashboards and Reporting to provide transparency to Key Stakeholders
  • Archive and Retrieve Compliance Data Easily

 

It’s intuitive, comprehensive, and easy to scale across multiple companies, departments and branches.