SRO Inquiries & Actions
InvestmentCare Consulting Group is proud to announce the launch of its new online compliance management and continuing education platform, Securities Regulator. In partnership with eMind, Inc., InvestmentCare Consulting Group has developed a complete compliance management system for broker dealers of all sizes.
Securities Regulator represents a breakthrough in compliance management. Integrated with the NASD's Web CRDSM system, it will enable your company to manage Registration, Supervision and Continuing Education more efficiently, securely and less expensively.
With Securities Regulator you'll have the ability to conduct branch audits, Anti-Money Laundering Audits and training, Firm Element training and tracking for Regulatory Element training. In addition, you can manage the registration of Forms U-4 and U-5 directly with the NASD's Web CRD. You can also manage private securities transactions, outside business activities, outside accounts, and conduct a comprehensive Webcast Online Annual Compliance Meeting.
Securities Regulator was designed by former NASD examiners, so you can be assured that you will be using the best compliance management system in the industry.
Securities Regulator offers:
- Firm Element solution with library of hundreds of online financial services courses
- Built-in outside employee trading accounts and pre-trade approval monitoring
- Outside business activities tracking and reporting
- Online gifts and gratuities log
- Private securities transactions tracking and reporting
- Online main office and branch office audits with built-in audit forms
- Online Anti Money Laundering Audit program
- Automated Regulatory Element tracking
- Live online Webcast for cost-effective Annual Compliance Meetings
- Build your own online forms and templates
- Online Needs Analysis and Training Plan Coming Soon
- Online Checks Received and Forwarded Blotter Coming Soon
- Online Securities Received and Forwarded Blotter Coming Soon
- Online Do Not Call List Coming Soon
- Registered Representative Criminal offenses disclosure and tracking
- Continuing Education Course Builder with simple-to-use wizard and advanced authoring functionality
- Supervision Hierarchy architecture to reproduce your compliance organization
- Registration integrated with NASD's Web CRD
- 24/7 customer service team
For a free demo or more information call us at 1-818-386-6900 or contact us online at firstname.lastname@example.org.