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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 may only complicate the process. Leveraging Regulation Technology (RegTech) to support your FINRA, SEC, and FinCEN surveillance and oversight requirements is no longer a nice-to-have; it is now a must-have.

Having a rules-based technology platform, to evaluate your data automatically, relieves compliance and supervisory personnel of the burden of sifting through pages of transactions or examining investor account positions for possible issues. More importantly, having RegTech allows firms to evidence supervision and quickly respond to regulators’ requests.

Join this complimentary webcast to discover how to leverage RegTech to create a more efficient and accurate process. Topics discussed will include:

  • Monitoring of your employee trades in accounts held away

  • Managing outside business activities, gifts, entertainment, and political contribution and donation tracking

  • Senior and vulnerable investor surveillance

  • Leveraging CRM data for investment suitability and Reg BI

  • Anti-money laundering

  • And more!


Martin Orbach, CRCP, ACAMS, CAMS | Vice President, Regulatory & Analytic Solutions – SS&C Risk & Compliance Intelligence (RCI) | SS&C Technologies

Shahyan Aly

Shahyan Aly | Principal Product Manager – SS&C Black Diamond | SS&C Advent

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