Compliance software

FINRA rules 3010, 3012 and 3130 require firms to have Supervisory Policies and Procedures in place, establish a Supervisory System, and regularly test their effectiveness. We assists firms by providing key indicators to management through our Executive Dashboard in Compliance View.

"The compliance function within firms is critical in helping to assure operations are in compliance with the law and it must continue to be fully and adequately resourced. Securities firms cannot now afford to reduce vigilance in compliance." We have the answer. www.investor-reports.com 214-717-1654

Our mission at Investor Reports is to provide broker/dealers a cost effective software solution that helps management effectively monitor account activities. Avoid costly litigation and remain current with the most recent supervision policies. Pinpoint potential problems, and maintain a more satisfied customer base. Software and data resides securely on remote severs, relieving your firm of the burden of additional resources to maintain.

214-717-1654   customer service login
 
Investor Reports TRANSFORMING COMMON TASKS
data consolidation
out-of-compliance notification
trade monitoring
cross-account reporting

THE RULES
compliance and your firm
penalties

CLOSER LOOKS
white paper
demo: system overview and
executive dashboard

press releases

COMPLIANCE VIEW REPORTS
standard
customizable

GETTING STARTED
requirements
pricing

HISTORY
software evolution
executive team

HELP
contact

customer service login site map demo white paper contact