• Investment Advisors »

MyComplianceOffice automates and centralizes a firm’s compliance procedures and activities such as certifications, code of ethics, personal trading, policy management, testing, tracking of issues and compliance document management.

• Hedge Funds »

MyComplianceOffice allows hedge funds to quickly setup and automate their compliance solution. It can be used to automate an existing compliance solution, ensure readiness for registration with the SEC, or to save costs of compliance.

• Broker Dealers »

A perfect compliance software solution for the regulatory environment of the securities industry, MyComplianceOffice allows Compliance Professionals to structure, deliver, and communicate a well-defined compliance solution to satisfy FINRA & the SEC.

Compliance Software Benefits

• Designed specifically for compliance departments
• Provides a single point for compliance management
• Online transactions replace the inefficiencies of paper
• Dashboards provide superior oversight and assurance of compliance management
• Web hosted, low cost implementation and easy to use interface

You’re Covered

• Keep pace with a dynamic regulatory environment
• Shield against reputational risk, regulatory penalties and potential litigation
• Prepare mock SEC audits
• Track periodic regulatory filings
• Manage exemption from Investment Company Act of 1940

Feel Free to Delegate

• Let growing your business recapture your time, attention and investment
• Shift senior management focus from routine compliance tasks to core business functions
• Increase operational efficiencies by automating manual activities
• Eliminate costs and ramp-up time with customizable, ASP model