Securities RegulatorSM is an internet-based compliance administration system that provides a unified view of critical compliance activities. Firms no longer have to rely on internal resources to manage compliance activities and search for information in multiple databases. Securities RegulatorSM allows firms to take control of compliance by integrating information into one platform that is accessible from any PC with Internet access.
Securities RegulatorSM
- Integrates all critical activities associated with learning and compliance
- Provides a single, current database of all registered representative and producer record information.
- Offers organizations a secure environment for their confidential records.
- Is scalable and enables organizations to implement local, regional or national programs
Reduce risk and exposure
Securities RegulatorSM provides a smart, safe compliance solution. It increases the accuracy of your compliance monitoring and reduces your exposure to exceptions and fines with automated management and tracking of:
- Securities and Insurance data tracking
-
Firm element & continuing education
- Forms, approvals and processing
Increase accuracy and security of compliance data
Securities RegulatorSM eliminates the headaches of error prone manual tasks and disjointed systems by providing a fully integrated compliance automation solution to:
- Ensure that approval processes are properly implemented
- Pinpoint compliance issues before they become liabilities with detailed reporting
Securities RegulatorSM employs robust security and recovery practices to protect your data from manipulation and loss. Historical information is permanently archived on CD-ROM.
Lower administrative costs
Are you still using Microsoft® Office and a patchwork of time-consuming manual processes to manage compliance? Securities RegulatorSM will dramatically increase the efficiency of your organization by automating the administrative tasks associated with compliance management:
- Automate many paper forms processes using electronic forms
- Choose standard forms or have custom forms developed
-
Define form routing approvals and track completion status.
For example, you can completely automate firm element training with the integrated e-learning management system:
- Design custom curricula
- Schedule reminders and automatically send email reminders
- Take courses and track results
Focus on compliance, not systems
There is no software to install; simply configure for your organization and you will be up and running quickly. You can access Securities RegulatorSM anywhere, anytime over the Web. Integration with the NASD WebCRD® system provides a single Web application to ensure that your firm meets its regulatory requirements. Kaplan Financial provides quality 24/7 support. We take care of the system, so you can take care of your business.
Easily tailored to your needs
Securities RegulatorSM allows you to configure views and functionality as needed, using built-in, intuitive design tools. Privileges and access levels are defined by business unit, branch, department, and end user role to mirror your organization's hierarchy.
Need more information?
 Click here for more information on Securities RegulatorSM.
|
Login
