SIGNiX is excited to introduce its revolutionary compliance tool, designed to transform how professionals in the wealth management industry handle suspected forgery or fraud while utilizing electronic signature software. This powerful addition to SIGNiX's robust software platform addresses the challenges outlined in FINRA's Regulatory Notice 22-18, providing an innovative solution for detecting, tracking, and responding to potentially suspicious activities.
Key Features:
The FINRA Compliance Lock software incorporates essential features such as automated audit trail review and behavior flagging reports. It ensures adherence to the supervision requirements outlined in Rule 3110(a) and meets the technology requirements specified in Notice 09-64. By utilizing SIGNiX's advanced technology, broker-dealers can efficiently and effectively identify and investigate potential compliance issues.
Efficiency and Resource Savings:
FINRA's recent notice places a significant compliance burden on broker-dealers, requiring substantial investments in technology and manual efforts to identify and address issues. However, SIGNiX's automated solution streamlines processes, significantly reducing the human and financial resources typically required. With this tool, businesses can fulfill their compliance obligations with enhanced efficiency and effectiveness.
Trusted Provider:
As a trusted provider of digital signature and remote online notarization software since 2002, SIGNiX has consistently delivered unmatched security and fraud protection. With a commitment to compliance and security, the company has delighted numerous customers in highly regulated industries. The launch of the FINRA Compliance Lock tool reinforces SIGNiX's dedication to safeguarding businesses from document-related risks and supporting their compliance journey.
Contact Information: To learn more about SIGNiX's revolutionary compliance tool and how it can enhance your organization's operations, please contact Pem Guerry, Executive Vice President, at pguerry@signix.com.