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What would you do if managing FINRA compliance issues wasn’t such (dare we say it?)…a time suck?

You’d probably spend more time looking at the bigger picture — maybe even peeking beyond non-trading regulatory compliance and internal policies to proactively design and implement the policies that actually mitigate risk.  Imagine that.

Get your data in a cloud

But make sure it’s the right cloud – one big enough to handle everything and sufficiently transparent you can find the data you need when you need it. Especially when FINRA’s asking.

We built it because you asked for it…

When our BD, FCM, and RIA clients asked for a comprehensive, easy-to-use compliance solution that their CFO wouldn’t laugh at, we built one — Patrina’s new, Integrated Compliance Suite. It’s a unified platform that is secure, easy-to-use, and available 24/7 to deliver greater visibility into compliance department activities to firm stakeholders. And it does all this for only a few dollars more than you likely already pay for plain old message archiving…

Tools include:

  • Message review and archiving
  • Written supervisory procedures
  • Outside business interest disclosures
  • Branch office audits
  • Customer complaints
  • Gifts, expenses and political contribution reporting

Plus, built-in workflows for: 

  • Flagging problematic communications and OBAs
  • Processing /managing/resolving customer complaints
  • Advertising review, approval and dissemination
  • Branch auditing, review, and deficiency follow up
  • WSP updates and updates acknowledgment

So you can reduce risk by:

  • Bringing issues needing remediation to the forefront
  • Creating multi-factor risk assessments for each branch
  • Monitoring marketing material usage
  • Quickly and efficiently resolving customer complaints
  • Easily identifying associates on heightened supervision

Want more time to do your real work, and keep your CFO happy? Let’s talk. Ask about Patrina’s comprehensive compliance solutions specifically designed for Broker/Dealers, RIAs, and FCMs. Or…you could spend your time doing it all yourself…

Let’s talk (212- 233-1155).

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