|
The financial securities industry now more than ever is facing increasingly
tighter and stringent regulations. For those left with the responsibility
of interpreting these regulations into real everyday business practices,
the road map to being compliant is all but missing. To say the least,
being proactive with your firm’s compliance practices is an
absolute must.
Core BackOffice Systems offers a Compliance Management System that
your Compliance Department wished they already had in place. This system keeps
track of all of your Registered Reps, Registered Sales Assistants,
Non-Registered Assistants, DRPs, Branches, OSJs, Satellite Branches, Rep
Numbers, etc. It also monitors all your rep's licenses and renewals. You can
import data from CRD, State Departments of Insurance and multiple broker-dealer
clearing firms. Our Compliance Management System is customizable for any
Compliance department with full-featured reporting and automation. The system
is flexible enough to track anything you wish about your Reps (from
fingerprints to U-4s).
This Compliance Management System is the key component for better
managing your firm’s regulatory requirements. It will create automation
in key areas, which in turn will help you to free up valuable compliance
department resources. Implementing our software system will give your staff the
tools they need to succeed and uphold solid firm’s compliance practices.
PRODUCT FEATURES:
-
Track your firm’s Securities and Insurance licensing
-
Universal access to scanned documents allows quick retrieval of client and
company information
-
Monitor renewals and other dated requirements
-
Attach customized notes to documents
-
Import data from CRD or State Departments of Insurance
-
Full featured report running options
-
Multiple user permission settings to help ensure security
-
Archiving functionality stores company information in a centralized database
and runs backups on most media devices.
-
Disaster recovery procedures/offsite storage options
-
Web enabled, built on Microsoft .Net technology
-
Comprehensive training and support packages
|
 |
 |
Track your firm’s Securities and Insurance licensing. |
|
Universal access to scanned documents allows quick retrieval of client and company information. |
|
Enter customized notes, monitor renewals and other dated requirements. |
|
Import data from CRD or State Departments of Insurance. |
|
Archiving, data backups on most media devices and disaster recovery procedures. |
|
 |
|
|