A leading consulting firm providing employee benefits consulting and insurance, retirement and wealth management services.
The company had two outdated compliance systems that were not meeting their needs. Their employee monitoring software lacked required functionality and their suitability platform was unwieldy to work with. With many rules they were spending an inordinate time clearing alerts and needed a more effective and efficient solution.
The company chose MyComplianceOffice because they could implement Employee Compliance functionality and Trade Suitability functionality on one integrated system. The platform’s ability to let users select specific rules based on business needs combined with the custom rules library built by MCO implementation team significantly reduced time spent on alert clearance. Ultimately, the firm went with MCO because it provides a user-friendly solution with multiple compliance capabilities all in one place.
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Optimal OBA Compliance Goes Beyond Just Disclosures
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