| |
Compliance Memo & Notices Solution  |
|
| |
|
|
| |
This Compliance
Memo & Notices Solution provides firms the
ability to let their brokers, sales managers, employees,
operations staff and other partners to be always aware of
the latest internal compliance related communications, legal
notices & memorandum.
|
|
| |
|
|
| |
Challenge |
|
| |
Fast changing
legal environment and disbursed locations require an
efficient way to communicate legal notices & memorandum,
date specific notification as well as internal
communications. The challenges are thus: |
|
| |
|
● |
Communicating with brokers,
sales managers, employees and other operational
staff regarding the latest
rules and regulations |
|
● |
Complying with restricted
stocks trading and other related mandatory
information |
|
● |
Tracking if the communication
has been seen by those who were suppose to receive
the information |
|
|
|
| |
|
|
| |
Solution |
|
| |
 |
|
| |
To meet the above
challenge, our Compliance Memo & Notices solution helps you
create compliance and legal notices. |
|
| |
These legal
notices can then be sent via email to the selected group.
This group can be your brokers, or employees or interested
third party. |
|
| |
This solution
further lets the compliance officer monitor the status of
the notice i.e. if the notice has been read, view and
respond to follow-up questions & clarifications. |
|
| |
|
● |
Create Legal notices,
memorandum, restricted stock notices |
|
● |
Use PDF, Microsoft Office tools |
|
● |
Use Email & Website to track the tools |
|
|
|
| |
|
|
| |
 |
|
| |
|
|
| |
Benefits |
|
| |
|
● |
A central place to create notices/memorandum
etc required for compliance |
|
● |
A
library to store notices
|
|
● |
Website
to view/post notices
|
|
● |
Ability to track notice read |
|
● |
A single location to create, send and track notices
sent |
|
|
|
| |
|
|
| |
Key Capabilities |
|
| |
|
● |
Integrated with Microsoft Office tools & Adobe PDF |
|
● |
Generate reports to identify who has read which
notice |
|
|
|
| |
|
|
| |
|
|
| |
|
|
| |
|
|
| |
|
|
| |
|
|
| |
|
|
| |
|
|
| |
|
|
| |
 |
|
| |
Electronic Notices| Proxy Material |
Proxy Notices | Electronic Proxy
Voting | Automated Proxy Voting|
Shareholder Rights |Corporate
Governance | DIRECTIVE
2007/36/EC of the European
Parliament | European Union
Corporate Voting Rights |
Shareholder Voting Rights |
Proxy Material by Internet |
Banks | Brokerages | Insurance
Companies | Credit Unions |
Money Service Business | Futures Merchants | Thrifts | Mortgage Companies | Mortgage Brokers | Mortgage Lenders | Mortgage Originators| Mutual Funds | Casinos | Card Clubs | Shippers | Receivers | Data
Processors | Casinos and
Mortgage Brokers | Bank Software
| Brokerage Software |
Compliance Software | Credit
Union Software |
|
