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Enforcing regulatory Compliance for large Broker Dealers and Investment Advisors

COMPLIANCE PORTAL

Complexity of regulatory and compliance standards

Now, more than ever, the increasing complexity of regulatory and compliance standards exposes businesses to the risk of litigation when seemingly innocent mistakes are made.

Extending auditing capabilities to the next level

SD Sharp's creation of the Compliance Portal solution extends the visibility, reporting and auditing of a quality compliance solution.

Choosing the right architecture

Utilization of web-based architecture ensures that all aspects of management and reporting are readily accessible in a single interface for those with compliance responsibilities. This custom solution is web accessible from anywhere and anytime and provides an overall reduction in effort and resources to manage the system.

Adding Offline capabilities

Auditors working in remote locations needed access to an advanced auditing platform. To solve this problem, SD Sharp developed a desktop based application that was capable of being used remotely to download audits, provide for local storage, secure data and ensure secure access.

Self maintaining platform

To ensure that the latest information was updated in this software solution, it was designed to enable automatic updates of data, automatic synchronization, and secure storage - all with an Internet connection.

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