Broker Dealer Compliance

Broker Dealer Compliance

Compliance is important to stay FINRA compliant and keep those pesky fines away.
WinOPS is the backbone of the C5 Solutions system using powerful data aggregation coupled with a full range of Broker Dealer Compliance tools to meet all the regulatory requirements. The Compliance Console is C5 Solutions real time compliance tool for powerful for Broker Dealers. The Compliance Console helps manage new business. The Compliance Console handles the approval or rejection of documents and images with data from the Broker Dealer back office. In conjunction with Dashboard the Compliance Console helps take Workflow to a new level. Depending on the workflow level of a document or image the Console launches the Representative, Customer and Order information to be reviewed side by side with the document needing approval.

Develop multiple levels for a customized hierarchy for complete compliance review. With item tree tool users can keep track of multiple documents that need to be reviewed as well as keep on going communication with Reps to facilitate business.
Effective communication with reps to keep NIGO’s (Not in good order) away and help them focus on future business. Stay ahead of FINRA’s suitability and know your customer requirements and tailor your Broker Dealers technology using C5 Solutions. Make sure your Broker Dealer Compliance system has all bases covered to prevent ever ending regulatory pressure and reporting requirements. Let C5 Solutions be the difference between your Broker Dealer’s profit or costly fines. For real-time compliance software see Compliance Console has to offer. For undertaking compliance reporting of massive data check out WinOPS.