“Verifying employee political contribution attestation responses gives us peace of mind going into an examination that we can show we go the extra mile to verify.” – Chief Compliance Officer, Independent Investment Research Firm
Outside business activities (OBAs) and political contributions raise complex regulatory, compliance, and ethical issues for many firms. And with a myriad of rules to comply with, including SEC Rule 206(4)-5 for pay-to-play compliance and FINRA Rule 3270 for OBA compliance, firms must take a proactive approach to monitoring and mitigating risk. And that’s where automation comes in.
Meet the leading solution used by compliance teams for automated monitoring of political contributions on the federal, state, and local level. COMPLY’s political contribution monitoring platform is specifically tailored to help financial institutions accurately and effectively operationalize pay-to-play regulatory compliance processes.
Maintain FINRA Rule 3270 or IA conflicts of interest disclosure compliance with one easy-to-use interface for form completion and submission, amendment for when activities change and streamlined ability to request additional information and deny, approve, or approve with restrictions.
“Verifying employee political contribution attestation responses gives us peace of mind going into an examination that we can show we go the extra mile to verify.” – Chief Compliance Officer, Independent Investment Research Firm
“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Whether it’s a political contribution or an outside business activity, we know employee actions can have consequences for your firm. We help you mitigate that risk. Ready to see how?
Download The Regulatory Compliance Technology Buyer’s Process to learn more about the step-by-step process to procure a new regulatory compliance technology.
