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A modular platform covering AML, fraud detection, sanctions screening, regulatory compliance reporting, and monitoring tailored specifically for financial industry clients.
Platforms that track changing regulations, automate compliance workflows, manage required disclosures, and ensure advisors meet regulatory obligations from bodies like the SEC, FINRA, and state regulators.
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Software that maintains comprehensive records of all client interactions, recommendations made, and the basis for those recommendations to demonstrate compliance with fiduciary or suitability standards.
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