Continuity Planning

Dwelling in a glass structure would make one thing abundantly clear: you better know what to do when things don't go as planned!  Effective Risk Management is a hallmark of the successful Broker Dealer. C5 Fintech Solutions has made Continuity Planning one of the pillars of our service to our Clients.

  • We constantly evaluate our systems and offerings for Risk, and we strongly encourage and partner with our Clients to do the same for their Financial Services Business. Broker Dealer Continuity Planning through consistency of systems and training can effectively minimize a Broker Dealers exposure to any threat, regulatory or cyber.

  • The C5 Fintech Solutions lifestyle consists of a solution blueprint, implementation, testing, upkeep and analysis. This is a continual cycle to keep Broker Dealers ahead of the game with advanced systems. From disaster recovery to policy management within a Broker Dealer, C5 Fintech Solutions has the required tools available. In addition, we help our clients develop rules based on suitability and KYC (know your customer) information to keep their Broker Dealer from regulatory fines.

  • One of our most powerful tools is the Hosting of the WinOPS system. With the arise of cyber security breaches is your Broker Dealer back office system keeping client, rep and other sensitive data safe? Our Hosting Solution provides a SaaS Model that is secure and redundant. Incidentally, it makes System Maintenance much easier as well.

C5 Fintech Solution's Continuity Planning is ahead of the curve from paperless processing, straight through processing, download integration, regulatory security and cyber security can you afford to be behind?