Broker Dealer Compliance Technology
We have a separate platform specifically for Broker Dealer compliance challenges. We build technology to help Broker-Dealers offer value added technology and services to help your advisors maintain their autonomy, while giving you insight into their compliance calendars, tasks, and what they are doing outside the broker-dealer.
You will attract and retain more representatives that want to run their own RIA and still maintain a Broker-Dealer relationship by offering your registered representatives technology to maintain organization and reduce time needed for compliance. Allowing more time to grow their books of business. Schedule a call today, and let us show you the value of Broker-Dealer Compliance Technology.
Compliance Calendar
Compliance Portal
Email Archive
Trade Monitoring
Website Archive
SMS Text Archive
VISUALIZE YOUR NEW COMPLIANCE WORLD
One secure Platform
Simplified procedures
Streamlined advisor approvals
Automated workflows
Never miss a filing date
Improved audit process
Saves time
