FINRA rules 3010, 3012 and 3130 require firms to have Supervisory Policies and Procedures in place, establish a Supervisory System, and regularly test their effectiveness.

We assists firms by providing key indicators to management through our Executive Dashboard in Compliance View.

Changing corporate governance to a truly self managed and self compliant form can be accomplished by: setting expectations, establishing specific compliance targets, providing timely and accurate feedback, and taking corrective action. Our software is designed to help management achieve profitability and increase customer satisfaction while maintaining regulatory compliance.

To find out more, view our system demo.