Why looking for Regulation Technology (RegTech) to support your FINRA, SEC, and FinCEN inspection and inspection needs is now a must.
The daily analysis of clearing, order management and custodial system data to support regulations and compliance policies is difficult and prone to error. Having a rules-based technology platform to evaluate your data automatically relieves compliance and supervisory personnel from the burden of sifting through pages of transactions or checking investor account status for potential issues Is. More importantly, having RegTech allows firms to provide evidence of supervision and respond quickly to requests from regulators.
Recent guidance from FINRA requires advisors and broker-dealers to enhance their written supervisory procedures and policies. However, for many firms, relying on spreadsheets for account and business analysis is not enough and can sometimes only complicate the process.
Leading financial advisors will include Timothy Welsh, SS&C Technologies’ Martin Orbach and Shahyan Ely to discuss as well:
- Monitor your employee trades in paused accounts
- Manage outdoor business activities, tracking gifts and entertainment, and political contributions and donations
- Senior and Weak Investor Monitoring
- Leveraging CRM Data for Investment Suitability and Reg BI
- anti Money Laundering
- even more
CFP, CIMA®, CPWA®, and AEP® CE credits have been applied for and are pending approval.
sponsored by
Vice President, Regulatory and Analytical Solutions – SS&C Risk and Compliance Intelligence (RCI)
SS&C
Shahyaan Alley
Principal Product Manager – SS&C Black Diamond
SS&C
Timothy D. Welsh, CFP® – Moderator
President and Founder
Nexus Strategy, LLC
