Overview
Maximize your firm’s efficiency and compliance with our Singular’s innovative Outside Business Activity (OBA) and Private Securities Transactions (PST) tracking. Designed to help your firm monitor and manage employee OBAs and PSTs, Singular streamlines reporting, enhances transparency, and ensures adherence to your firm’s policies.
Key Features
Intuitive Reporting Interface
Easily submit and manage OBAs and PSTs with a user-friendly interface. Users can quickly fill out online forms which can automatically be routed to compliance ensuring accurate and timely submissions, review, and approvals.
Automated Approval Workflow
Simplify the approval process with automated workflows. Notifications keep compliance members informed of new submissions and ensure timely responses to OBA and PSTs requests.
Compliance Monitoring
Comprehensive audit trails, keeping track of who, what, and when OBAs and PSTs are approved.
Automate Reminders
With Singular, setting annual reporting reminders is simple. Create granular rep specific reminders to submit new OBAs and PSTs, or update or remove and previously submitted disclosures.
Real-Time Dashboards
Gain insights into outside compliance activities across your organization. Singular’s real-time dashboards provide key metrics, helping you identify compliance tasks and follow-ups.
Customizable Policies
Singular adapts to your firm’s unique needs. Customize approval workflows and reporting requirements to align with your specific policies.
Compliant Data Archiving
Your firm’s sensitive information is encrypted and archived within Singular’s 17a-4 compliant data repository. Backed by Patrina’s best-in-class customer support, your firm will always be audit ready!
Benefits
- Enhanced Compliance: Reduce the risk of policy violations and ensure that all OBAs and PSTs are tracked and managed.
- Increased Transparency: Foster a culture of transparency within your firm, promoting trust between registered reps and compliance.
- Efficient Management: Save time and resources by automating the reporting and approval process.
Why Trust Patrina Compliance with your data? Just ask our clients.
We couldn’t be the leader in regulatory compliance innovation without the trust of our clients. Compliance professionals like you.
We chose Patrina because the solutions our previous archive partner provided did not meet our growing needs... Patrina's service is impeccable.
I recommend Patrina to my state- and SEC-registered RIA clients because their email archiving system is equal to any in the market, and better yet, it's less expensive than any of the others. Patrina offers a comprehensive compliance suite so that my SEC and state RIAs can inexpensively capture everything in one portal...
