Minimum Standards for Compliance Technology


The benefits and affordability of current compliance technology are well known to regulators. Recent SEC guidance and risk alerts have consistently pointed to a lack of adequate technology as a deficiency in compliance programs. Could minimum technology standards for compliance be far behind?

Join us for the on-demand webinar Minimum Technology Standards for Compliance.

During this webinar Tito Pombra from Adviser Compliance Consulting and Giselle Casella from Investment Adviser Compliance Consultants will discuss the concept of minimum technology standards, and how firms can use both minimum technology standards and automation to effectively manage compliance, including:

  • Evaluating compliance technology offerings for fit
  • Aligning capabilities with compliance requirements to replace manual processes
  • Understanding how automation can help firms better manage the core functions of compliance
  • Leveraging technology for effective SEC exam management

A question and answer session will follow.

We’re living in a world where we all use technology to manage our daily lives, both at home and at work. Recent years have seen huge gains in compliance technology and automation for firms of all sizes.

Robust compliance technology empowers compliance teams to manage risks much more effectively. By consolidating and integrating technology, firms can reduce the cost of compliance and reduce the risks caused by operating multiple disparate systems. Download the complimentary white paper Why Less is More - Consolidate Compliance Technology to Reduce Cost and Risk and learn about the benefits of a  singular compliance system, including:

  • Lower cost of compliance
  • Increased transparency
  • Reduced reputational risk
  • Improved supervision
  • Enhanced decision making
  • Demonstrated commitment to regulators and examiners

MCO’s Conduct Risk Management Suite enables organizations to seamlessly monitor, identify and remedy conflicts of interest and code of conduct issues via one platform, delivering:

  •  A single integrated solution that checks for conflicts across systems
  • Centralized data for ease-of-access, consistency and unparalleled risk control
  • An easy-to-use interface to increase employee efficiency and adherence
  • A scalable modular approach to meet the unique needs of every firm

We have resources that can help you manage your conflicts of interest. MyComplianceOffice provides a fully integrated, Conduct Risk platform that helps organizations avoid fines and sanctions by using a global company and security master dataset to identify conflicts across employees, firm transactions and third parties.

Ready to learn more? Let us know and one of our experts will be in touch.