Why looking to Regulation Technology (RegTech) to support your FINRA, SEC, and FinCEN surveillance and oversight requirements is now a must-have.
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 trade analysis isn’t enough and sometimes may only complicate the process.
During a recent WealthMangement.com webinar, Timothy Welsh, CFP®, Nexus Strategy LLC, spoke with Martin Orbach, SS&C Risk Compliance Intelligence Platform (RCI) and Shahyan Aly, SS&C’s Black Diamond® Wealth Platform. These experts explained how having a rules-based technology platform to automatically evaluate data helps reduce the cost and time of meeting regulatory compliance obligations.
The conversation also covered:
Monitoring employee trades in accounts held away
Managing outside business activities, gifts and entertainment, and political contribution and donation tracking
Senior & vulnerable investor surveillance
Leveraging CRM data for investment suitability and Reg BI
Advances in RegTech: Managing Compliance Mandates
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