Integrated Compliance Suite


Save time. Manage risk. Be compliant.

Stop juggling multiple systems to manage the core of your non-trading compliance. Patrina’s Integrated Compliance Suite is designed for Broker-Dealers, RIAs, and FCMS. A single, powerfully integrated platform, Patrina automates workflow and delivers a 360o view of your entire non-trading compliance program.

Built on the industry’s easiest-to-use interface, Patrina’s 8 powerful modules systematize and manage your firm’s:

ELECTRONIC COMMUNICATIONS
ELECTRONIC COMMUNICATIONS
Manage and retain all your firm’s email, social media, texts, and instant message communications from one unified platform.
WRITTEN SUPERVISORY PROCEDURES
WRITTEN SUPERVISORY PROCEDURES
Streamlining the development, distribution, oversight and compliance reporting of written supervisory policies and procedures.
MARKETING MATERIAL
MARKETING MATERIAL
Patrina’s Marketing Materials Module streamlines the regulator-required approval process.
BRANCH OFFICE AUDITS
BRANCH OFFICE AUDITS
Delivering step-by-step workflows to take you quickly from pre-audit prep to post-audit review.
GIFT & ENTERTAINMENT REPORTING
GIFT & ENTERTAINMENT REPORTING
Easily streamline gift request submissions, data collection, documentation, management, oversight, and reporting.
POLITICAL CONTRIBUTIONS
POLITICAL CONTRIBUTIONS
The Patrina Political Contributions Module seamlessly integrates political contribution disclosure, approval, and tracking from a single Patrina dashboard.
COMPLAINT MANAGEMENT
COMPLAINT MANAGEMENT
Now the identifying, confirmation, reporting, investigation, tracking, and remediation are easier with Patrina.
OUTSIDE BUSINESS ACTIVITIES
OUTSIDE BUSINESS ACTIVITIES
Streamline the disclosure and approval process and eliminate the gaps associated with annual reporting.

Patrina’s Integrated Dashboard delivers

Patrina Integrated Dashboard delivers high-level reviews of all your compliance processes, and procedures — whenever and wherever you need it. Get top line and in-depth views of:

  • Compliance officer activity level
  • Status of Branch Office Audits
  • Outstanding tasks and their assignments
  • Issues that require immediate CCO attention
  • Marketing material awaiting approval
  • Calendar of upcoming compliance events
  • And so much more!

It’s that simple. Point. Click. Compliance.

So, when the regulators call, will you be ready?

Click here to schedule your Patrina demo or call +1.212.233.1155 today and we’ll help you do more, spend less, and reduce risk!


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