sentry compliance, an saas regtech solution

INTEGRATED APPROACH TO COMPLIANCE MANAGEMENT

SENTRY

RND Resources Inc | Woodland Hills CA Integrated Compliance

www.finracompliance.comPh: (818) 657-0288

http://www.finracompliance.com/

Integrated Approach to Compliance


Centralized Policy Management


Electronic Attestation of Policies and Procedures


Organized compliance checks, assignments & workflows. Dashboards help manage reviews and uncover issues.


Regulations Library: lookup, search, add


Manage Annual Reviews Calendar


Marketing Materials & Advertising Review


Advisors & Reps submit Client Information online and request suitability review + account opening review


Investor Compliance: suitability review, account opening, annual review, allocations, fees & billing, AML, client mgmt


Account Opening: Customer Due Diligence


Investor: Automated Trade Monitoring


Online Client Portfolio Review


Client Communication: send & receive information securely marketing material, tax information, and more


Client Suitability Review: sort & group


Manage Client Complaint: follow up & record


Customize Trade Restrictions & Watchlist


Automated Trade Monitoring and Personal Trade Review identify issues & mark issues manually


Buy/Sell Trade Trends: charts & graphs


Trade Trend Bar Charts


Track IT Inventory & Governance


Vendor Risk Management


THE END

SENTRY


www.finracompliance.comPh: (818) 657-0288

Get Sentry Today ! Call (818) 657-0288for more information

http://www.finracompliance.com/

sentry compliance, an saas regtech solution

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