KNOW YOUR EMPLOYEE (KYE®)
Representative Registrations and Licensing
Manage employee registrations and licenses with greater efficiency and visibility.
Better Management of Registration and Licensing Starts Here
Tracking licensing and registration requirements and continuing education is an integral part of compliance, but it can also be a tremendous drain on time and resources. Representative Licensing and Registrations brings efficiency, accuracy and visibility to your process.
COMPLIANCE BUILT BETTER™
INTEGRATION ACROSS THE ORGANIZATION
Integration with internal systems means that both HR and Compliance teams can easily access shared data.
Enter information like address changes just once, without rekeying into multiple platforms. Reps can view and update their personal data directly into the system, receive assignments when exam and CE windows open, and view records, including status updates and open events.
STAY CONNECTED WITH FINRA AND THE CSA
Our Representative Registrations and Licensing solution integrates with FINRA’s CRD database and the CSA/CIRO’s NRD system.
Reports are available nightly from both systems, updating data of individuals associated with the firm. Our software also supports updates of amendment information to FINRA.
EFFECTIVELY MANAGE FINRA RENEWALS AND REGISTRATIONS
Manage FINRA Form U4, FINRA Form U5 and FINRA Form NRF and track required exams and Continuing Education across the organization.
You’ll also have the FINRA registrations and licensing tracking framework in place to efficiently and effectively manage the Annual Renewal process.
Manage employee licensing, registration and Continuing Education with greater efficiency and visibility.
Eliminate risk from having to maintain multiple systems and data silos with a centralized and efficient approach. Understand the big picture of risk with advanced filters and queries to fill regulatory, internal audit and management requests.
Eliminate duplicate data entry to increase accuracy and efficiency. Reduce incomplete or incorrect submissions. Create business rules to generate alerts, assignments and notifications based on the business needs of your firm.
Track licenses held and products sold to ensure there are no discrepancies. Track, submit and maintain registration data across reps, branches, and jurisdictions.
The platform is designed to be easily customizable to fit the unique needs and policies of different organizations.
Representative Licensing and Registrations is part of MCO’s Know Your Employee (KYE) suite that monitors, identifies and remedies conflicts of interest and code of conduct issues and comprehensively addresses employee compliance.
With Know Your Employee, firms can manage all areas of employee compliance on one platform with shared data, enabling a holistic view of compliance risk.
