Compliance is Complicated
For financial advisors and wealth management firms, compliance is critical to business operations. The two major governing bodies for financial services compliance are FINRA (Financial Industry Regulatory Authority) and the SEC (Securities and Exchange Commission). Together, these organizations set out guidelines designed to protect investors and ensure fairness in the financial markets. Additionally, fiduciary duty is a high-level principle that financial advisors must adhere to. This means they are obligated to act in their clients’ best interests when it comes to managing investments.
Ensuring compliance with these standards can be complicated, but financial compliance software can help streamline the process of maintaining compliance and navigating ever-changing regulations and obligations. With the right tool, financial advisors can put clients first and focus on areas that have a real impact on business growth.
Make Compliance a Profit Center
Command Center is a financial compliance software that helps advisory firms safeguard their investments and remain compliant with regulations. With Command Center, your team can easily monitor, investigate, and report on compliance activities, review thousands of accounts in minutes and access real-time insights into portfolio alignment. Your firm can take proactive measures to address any potential compliance issues as they arise, protecting your business and your clients.
Command Center turns compliance into a profit center by streamlining compliance efforts and empowering your team to create alignment across all portfolios. You and your team can focus on the important stuff—like providing financial advice that’s in the client’s best interest—without worrying about potential compliance issues.