sentry compliance, an saas regtech solution
TRANSCRIPT
INTEGRATED APPROACH TO COMPLIANCE MANAGEMENT
SENTRY
RND Resources Inc | Woodland Hills CA Integrated Compliance
www.finracompliance.comPh: (818) 657-0288
Integrated Approach to Compliance
RND Resources Inc | Woodland Hills CA Integrated Compliance
Centralized Policy Management
RND Resources Inc | Woodland Hills CA Integrated Compliance
Electronic Attestation of Policies and Procedures
RND Resources Inc | Woodland Hills CA Integrated Compliance
Organized compliance checks, assignments & workflows. Dashboards help manage reviews and uncover issues.
RND Resources Inc | Woodland Hills CA Integrated Compliance
Regulations Library: lookup, search, add
RND Resources Inc | Woodland Hills CA Integrated Compliance
Manage Annual Reviews Calendar
RND Resources Inc | Woodland Hills CA Integrated Compliance
Marketing Materials & Advertising Review
RND Resources Inc | Woodland Hills CA Integrated Compliance
Advisors & Reps submit Client Information online and request suitability review + account opening review
RND Resources Inc | Woodland Hills CA Integrated Compliance
Investor Compliance: suitability review, account opening, annual review, allocations, fees & billing, AML, client mgmt
RND Resources Inc | Woodland Hills CA Integrated Compliance
Account Opening: Customer Due Diligence
RND Resources Inc | Woodland Hills CA Integrated Compliance
Investor: Automated Trade Monitoring
RND Resources Inc | Woodland Hills CA Integrated Compliance
Online Client Portfolio Review
RND Resources Inc | Woodland Hills CA Integrated Compliance
Client Communication: send & receive information securely marketing material, tax information, and more
RND Resources Inc | Woodland Hills CA Integrated Compliance
Client Suitability Review: sort & group
RND Resources Inc | Woodland Hills CA Integrated Compliance
Manage Client Complaint: follow up & record
RND Resources Inc | Woodland Hills CA Integrated Compliance
Customize Trade Restrictions & Watchlist
RND Resources Inc | Woodland Hills CA Integrated Compliance
Automated Trade Monitoring and Personal Trade Review identify issues & mark issues manually
RND Resources Inc | Woodland Hills CA Integrated Compliance
Buy/Sell Trade Trends: charts & graphs
RND Resources Inc | Woodland Hills CA Integrated Compliance
Trade Trend Bar Charts
RND Resources Inc | Woodland Hills CA Integrated Compliance
Track IT Inventory & Governance
RND Resources Inc | Woodland Hills CA Integrated Compliance
Vendor Risk Management
RND Resources Inc | Woodland Hills CA Integrated Compliance
THE END
SENTRY
RND Resources Inc | Woodland Hills CA Integrated Compliance
www.finracompliance.comPh: (818) 657-0288
Get Sentry Today ! Call (818) 657-0288for more information