Enterprise Solutions for Broker-Dealers
Advanced Compliance Tools for Financial Institutions. Enterprise features with flexible pricing.
Designed for Institutional Requirements
The Broker-Dealer Challenge:
You need enterprise-grade compliance tools that meet FINRA, SEC, and DOL requirements, but traditional enterprise solutions are expensive, complex, and over-engineered for your needs.
Our Approach:
We provide institutional-grade rollover analysis tools with:
- Advanced compliance monitoring and audit trails
- Multi-user management with role-based permissions
- Enterprise integration capabilities
- Flexible pricing without long-term contracts
Why Broker-Dealers Choose Us
Enterprise Compliance
Advanced compliance features designed for broker-dealer oversight requirements and regulatory scrutiny.
Multi-User Support
Built for teams with advanced user management, role-based permissions, and centralized oversight.
Institutional Features
Enterprise-grade features including audit trails, compliance monitoring, and institutional reporting.
Cost Effective
Professional compliance tools at a fraction of enterprise pricing. No long-term contracts required.
Institutional Workflow Support
Advisor Oversight
Monitor advisor activity and ensure all rollover recommendations meet compliance standards.
Compliance Reviews
Conduct regular audits of rollover documentation and maintain complete compliance records.
Client Onboarding
Streamline the rollover analysis process for new client acquisitions and account transitions.
Regulatory Reporting
Generate comprehensive reports for FINRA, SEC, and other regulatory body requirements.
Enterprise-Grade Features
Advanced Audit Trails
Complete electronic recordkeeping with timestamped entries, user tracking, and compliance verification.
Multi-User Management
Role-based access control with advisor oversight, compliance officer permissions, and team collaboration.
Compliance Monitoring
Real-time compliance monitoring with automated alerts for documentation gaps and regulatory requirements.
Enterprise Integration
API access and integration capabilities for existing broker-dealer technology stacks.
Institutional Reporting
Advanced reporting features for management, compliance teams, and regulatory submissions.
Institutional Value Proposition
Compliance Efficiency:
- Automated PTE 2020-02 compliance documentation
- Reduced compliance review time by 80%
- Complete audit trails for regulatory examinations
- Streamlined FINRA and SEC reporting processes
Risk Mitigation:
Professional documentation reduces regulatory risk and enhances audit defense capabilities.
Value: Priceless regulatory peace of mind at affordable pricing
Enterprise Solutions Comparison
| Feature | Legacy Enterprise | Rollover Analysis Tool |
|---|---|---|
| Multi-User Support | ✓ Complex setup | ✓ Simple setup |
| Annual Cost | $10,000-$50,000+ | $500-$2,000 |
| Setup Time | 3-6 months | 5 minutes |
| Contract Terms | Multi-year required | Month-to-month |
| API Integration | ✓ Enterprise only | ✓ Included |
| Compliance Monitoring | ✓ Advanced | ✓ Comprehensive |