Compliance

The next "Layer of Glass" that protects our Broker Dealer Clients is our Compliance service.  Returning to a glass building illustration, several layers of glass are needed for strength and protection with transparency. For our Solution, these layers are produced by WinOPS Essentials and others are greatly enhanced when the Compliance Console is added.

Compliance is important to stay FINRA compliant. With regulator requests growing in number and level of complexity, it's crucial that the Broker Dealer has a thorough and consistent system and method of processing this data.


WinOPS is the backbone of the C5 Compliance Solutions system using powerful data aggregation coupled with a full range of Broker Dealer Compliance tools to meet all the regulatory requirements.

We are particularly excited about the new platform we are in the process of rolling out known as D.A.R.T.  This robust Business Intelligence machine will run in parallel to WinOPS and in some cases exceed it on providing up the minute Business Intelligence for both the Broker Dealer and in the near future, the Representative as well. We can't wait to share D.A.R.T. with you! Are you ready to take the Next Steps?

 

The Compliance Console is C5 Fintech Solution's real time and powerful compliance tool  for Broker Dealers that can be added to WinOPS Essentials. The Compliance Console helps manage new business as well as handling the approval or rejection of document images with data from the Broker Dealer back office. In conjunction with Dashboard the Compliance Console helps take Workflow to a new level. Depending on the workflow level of a document or image the Console launches the Representative, Customer and Order information to be reviewed side by side with the document needing approval.

 

Compliance Console allows you to develop multiple levels for a customized hierarchy for complete compliance reviews. With Item Tree Tool users can keep track of multiple documents that need to be reviewed as well as keep up with ongoing communication with Reps to facilitate business. Here at C5, we believe that effective communication with reps is vital to keep NIGO’s (not in good order) away and also to help them focus on future business.

 

Stay ahead of FINRA’s suitability and know your customer requirements as well as tailor your Broker Dealers technology using C5 Fintech Solutions. Make sure your Broker Dealer Compliance system has all bases covered to deal efficiently with ever ending regulatory pressure and reporting requirements.   C5 Fintech Solutions wants to be the difference that helps your Broker Dealer gain profit and avoid costly fines. For real-time compliance software see  what Compliance Console has to offer. For undertaking compliance reporting of massive data check out WinOPS.