Manage employee supervision – including licensing, registrations, brochures, and Written Supervisory Procedures – and demonstrate, disclose, and document your best interest recommendations, all from one platform.
From the SEC and FINRA to FCA and other global regulators, navigating the nuanced requirements set for broker-dealers demands a comprehensive compliance support structure to ensure you never miss a beat.
Collecting and maintaining registration and licensing information for registered representatives is vital to the success of compliance programs, requiring a keen eye for detail and ongoing, diligent oversight.
Written Supervisory Procedures are the backbone of a comprehensive compliance program, defining the critical policies, processes, and procedures for your entire firm – and off-the-shelf policies simply will not cut it.
AML continues to be a focus point for global regulators, highlighting the very real and pervasive risk compliance teams must mitigate to protect investors and the market at large.
From Form ADV to Form BD, tracking, managing, and completing the necessary forms and updates is time-consuming and resource draining. But it's a necessary component of any program.
As a broker-dealer, Regulation Best Interest sets the standard for your client obligation, outlining your key requirements as well as the necessary documentation.
COMPLY's regulatory and technology experts have decades of experience helping broker-dealers navigate the varied and complex regulatory requirements set forth by the SEC and FINRA. And we can help you do the same.
As a fiduciary, it is your responsibility to continuously act in your client’s best interest — and to document the steps you’ve take to prove you continue to do so.
Leverage COMPLY’s technology-backed solution to automate the process and customize your WSPs to your unique needs and requirements.
Educate employees on the latest trends in money laundering and how to detect them, with insight into the reporting of suspicious activity, the newest schemes, countries in high‐risk categories, and more.
Meet your form filing obligations without burdening your team or adding extra headcount. How? With COMPLY’s in-house filing experts, adept at managing the details and the demands of your form filing needs.
Generate and file disclosures specific to each of your firm’s representatives and ensure your firm is exercising reasonable diligence, care, and skill in making recommendations.
Register and track your representatives, with the automated solution designed to help you effectively review and submit U4/NRF filings on behalf of reps directly to FINRA CRD.
Have a few questions after exploring our solutions and capabilities for Broker-Dealers? Check out some of the most frequently asked questions for all your answers.
Broker-dealers are registered with the SEC and are members of FINRA, thus subject to SEC and FINRA rules. Violations of either SEC or FINRA rules carry significant consequences, including censure, fines, and reputational damage.
COMPLY provides our customers with the service and support required to meet the exacting demands of the regulatory industry, while embodying the attention to detail you demand of yourself and your team. With 24/5 support and unparalleled in-house expertise, your program is our priority from the moment you begin the onboarding process. That’s our promise to you.
You can contact our Customer Support team here.
COMPLY customers have access to leading continuing education programs, including IACCP courses and Investment Adviser Representative (IAR) program for those broker-dealers in state which have implemented the North American Securities Administration Association (NASAA) requirement.
When you work with a compliance technology firm that has established direct brokerage feeds, the broker carrying the account sends electronic data files to your firm’s compliance system directly through a secure connection. Data files include the holdings and transaction activity for all of your firm’s employees’ accounts held at that broker.
With integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process, COMPLY provides unrivaled information accuracy and dependability. These feeds:
COMPLY offers a Marketing Review Service which aids broker-dealers in complying with all requirements within the new rule.
COMPLY customers have access to the registration and licensing solution, RepTracker. This solution aggregates and manages data about registered reps, including licenses, registrations, and renewals on a state-by-state level through a single, centralized database.
As part of the COMPLY portfolio of firms, customers have access to the ComplianceGuardian solution, which helps broker-dealers maintain their Written Supervisory Procedures manual.
COMPLY customers have access to our RolloverAnalyzer solution, which supports compliance with the DOL’s PTE 2020-02 exemption.
Complete this form to schedule a full demo and see firsthand what our compliance solutions can do for you.
