MyComplianceOffice personal trading.WMV

Our Compliance Operations Management System (COMS) is a secure, web-based solution to automate and manage all your firms compliance activities. Our system brings data from different systems together allowing CCO's to analyze the different issues across their programs.
How It Works
MyComplianceOffice combines the power and flexibility of Approvals & Affirmations, Questionnaires and Attestations, Task Management & Workflow, Personal Trading, Document Management, and Case Management into a single, integrated, easy to use solution. A Dashboard view of the entire compliance program provides quick access to critical data. The combination of these features enables a firm to:

Automate the many various activities of the compliance program that are currently manual.
Capture all information (documents, comments, etc.) associated with the activities.
Create a single system of record for all compliance information for audit response.
Retrieve data easily for testing or audit purposes.
www.mycomplianceoffice.com

Category:

Education

Tags:

• sec compliance
• finra compliance
• personal trading