Easily find accounts with inappropriate investments for their investment objectives, concentrated positions and other compliance issues. Compliance Cloud enables RIA's and BD's to sift through their data and automatically spot compliance issues—allowing them to spend less time finding problems and more time solving them.
Walk into the next year’s FINRA and SEC audits with thousands of documented cases of proactive supervision.
Streamline your case management and resolution workflow to increase productivity. Intelligent prioritization automatically flags accounts that need attention, enabling you to tackle the most important issues first.
Compliance Cloud empowers you to take control of your data and easily identify and prioritize issues that need immediate attention. Gone are the days when compliance departments spent hours spot checking accounts, searching for issues to address. With Compliance Cloud, you have a window into your accounts and a streamlined case management and resolution workflow system so that you can find and tackle issues before the regulators do.
Compliance Cloud utilizes award-winning technology to analyze your book of business and identify issues to be resolved. Our powerful portfolio analytics engine calculates the Risk Number® of each portfolio and compares it with stated investment objectives. It is able to find and flag accounts with inappropriate investments for their investment objective, concentrated positions, high-risk positions, excessive cash, periods of inactivity and more.
Let big data analytics find compliance issues for you. Now you can focus on solving issues rather than finding them.