As FINRA and the SEC become more aggressive in the enforcement of both AML and Supervisory Control Systems regulations, which require ‘Annual’ Testing, Audit Risk Assessments, and Management Reporting, firms are in need of more sophisticated and efficient methods to achieve compliance. Compliance systems that require manual collection of data and reports from various individuals, entities, and regulatory agencies, and conducting line-by-line reviews and analysis are no longer feasible, and create enormous demands on time and limited resources.
An innovative technology solution that enables firms to collect, analyze and report data more efficiently is needed.
The market has not provided an agile, low-cost solution to meet this burden. Until now.
Comprehensive and intuitive, our cloud-based Compliance Audit Management with Data Analytics platform (SaaS) addresses all the Audit Management, Compliance Management and Compliance Data Analytics needs of Registered Broker-Dealers and other members of the Financial Industry, including:
Collect, Analyze and Report Compliance Data Efficiently:
It’s intuitive, comprehensive, and easy to scale across multiple companies, departments and branches.
See how it works on our Solutions page.