Overview As firms prepare their annual ADV updates or review their compliance programs, one area […]
In a non-exclusive co-branding agreement, Compliance Risk Concepts and FinWebTech have teamed up to provide broker-dealers, registered investment advisors, banks and other financial institutions, an automated cost effective solution to improving operations, reducing risk and maintaining a strong culture of compliance.
Developed with input from ex-regulators from FINRA and the Securities Exchange Commission (SEC), Catalyst features algorithms and compliance processes like: Supervisory Task Manager, Trade Surveillance, AML Surveillance, Document Library and Risk Monitoring and Scoring. Learn more about this new Automated Compliance Solution and how it is changing how compliance officers and firms are viewing and managing their compliance programs.
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