One platform to build and maintain a culture of compliance
Broker-dealers, RIAs, and FCMs are required to create, implement, maintain, confirm, and regularly review written supervisory policies and procedures to ensure regulatory compliance, mitigate reputational risk, and avoid potential financial consequences. This includes adhering to FINRA Rule 3130, which mandates that broker-dealers not only test and report on the effectiveness of their written supervisory procedures annually but also store these policies in accordance with 17(a)-4 requirements.
Patrina’s platform provides a comprehensive solution for managing these critical compliance tasks. By centralizing policy management, testing, reporting, and storage in one user-friendly system, Patrina helps streamline the compliance process. This ensures that your firm remains in good standing with regulatory requirements while effectively managing and mitigating compliance risks. With our platform, you can build a strong culture of compliance, enhance operational efficiency, and focus on confidently growing your business.
Write. Track. Report. Done.
Patrina’s Written Supervisory Procedures Module simplifies the management of your written supervisory policies and procedures. From development and distribution to oversight and compliance reporting, everything is streamlined through a single, intuitive dashboard. Easily update manuals, confirm employee acknowledgments, and meet regulatory requests with efficiency and ease—all from one centralized location.
By consolidating these critical tasks, Patrina’s module enhances operational efficiency and reduces the risk of compliance lapses. This centralized approach ensures that all your policies are current, accurately tracked, and readily accessible, helping you maintain regulatory compliance and uphold the highest standards of supervisory oversight.
Flexible. Comprehensive. Compliant.
One of 8 powerful modules built on the industry’s easiest-to-use interface, you can rely on Patrina’s Written Supervisory Procedures Module’s integrated dashboard to:
- reate, edit and store your firm’s compliance manuals, and policies and procedures;
- Assign employees to a specific manual or groups of manuals;
- Push compliance manual updates to your employees;
- Track which employees have acknowledged your changes and resend notifications to those who have yet to acknowledge them;
- Time stamp all edits and acknowledgements for proof of compliance;
- Reproduce a manual from any historical point in time on demand;
- Easily add sections and subsections to your manuals;
- Quickly drill down on content through Patrina’s powerful search function; and
- Customize reports to meet internal and regulator demands.
Patrina’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!
