• Home
• Products
  • Compliance Management
  • Personal Trading System
• Compliance Software
  • Investment Advisers
  • Hedge Funds
  • Broker Dealers
  • Private Equity
  • Investment Managers
  • Investment Managers
• Compliance Insights
• faq
• About
• Contact Us
• Customer Login

Compliance Solution for Investment Advisers

• Get Free Trial
• Request Demo
• Contact Us
• Register For Seminar

Features

• Approvals and Affirmations
• Questionnaires and Attestations
• Task Management & Workflow
• Personal Trading
• Document Management
• Case Management
• Dashboard

Your Challenges

• The manual, time consuming activities in my compliance program are costing my firm a lot of money. What can I do to reduce these costs?
• The costs of maintaining a compliance program are increasing significantly as the demands of the regulations increase. What can I do to control this increase or perhaps reduce the overall costs?
• Am I in a position with my current approach to respond to all of the regulators' demands at next audit given the increased demand for burden of proof of completing activities?
• Is compliance program flexible enough to adapt to a changing business model, changing regulatory environment and changing personnel within the business?
• Is the company fostering a culture of compliance today?
• How can we ensure we are practicing effective oversight of the compliance program with the multiple data capture methods, approaches, and IT solutions that we use today within the compliance program?
• Are we sure that all required compliance activities are being completed?
• How can I free up key compliance staff from spending time compiling compliance data rather than analyzing the results to minimize the risks to the firm?
• How can I enforce best practices as designed by the PWG (President’s Working Group) in the US and the HFSB (Hedge Fund Standards Board) in the US in a cost effective solution?

Our Compliance Solution

MyComplianceOffice Compliance Operations Management System (COMS) is specifically designed to allow Investment Advisers to easily build and automate their compliance program.

How does it work?

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:

• 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.

Long Term Compliance Platform

The flexibility of the tools in our solution allows you to modify policies and procedures as regulations change and as your business model evolves into new markets. Storing all data and documents in one solution ensures your firm is ready for audits, irrespective of changing personnel.

Benefits

• Provides significant savings on costs of a firms compliance program with automation.
• Enables easier and more effective oversight and monitoring by compliance personnel.
• Reduces risk of compliance issues with automation and easier oversight.
• Ensures compliance with the policies and procedures that are appropriate for the firm.
• Demonstrates the culture of compliance within the firm to prospective investors.
• Adapts to changing SEC, FINRA, FSA and other compliance requirements and to the firm’s changing business model.
• Provides peace of mind that firm has long-term, flexible solution for maintaining the compliance program.
• The "Software as a Service" (SaaS) solution from MyComplianceOffice has:
  • No system costs.
  • Support is included.
  • Upgrades are provided without additional cost.

View details on our Product Features page > >

Back »