Automate and Manage Regulatory Compliance
Understand how you can efficiently tie what people are working on with the restriction status for that individual. Uncover the challenges such as legacy systems, misaligned data, security issues and more. .
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Over the past few years, public accounting firms have invested in having financial institutions provide them files of holdings and transactions, which is commonly referred to as broker data import (BDI) and financial interest integration (FII).
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Personal independence is critical for regulatory compliance as well as meeting professional standards, however, the task of manually entering holdings into an application to confirm independence can be time consuming.
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