Serve Me! Suite

Supervision & Compliance Solution

Audits happen. In the financial services industry, audits are becoming nearly as common as a cold, but with M&O's Compliance solution a firm can feel confident that it is prepared in the event that an audit happens, while maintaining its focus on building its business.

M&O's Compliance solution can significantly reduce the costs and risk associated with compliance supervision by automating the process. It directs transactions to the appropriate supervisor for surveillance, review and approval. It enables a firm to track registered representative compliance with continuing education requirements, as well as outside accounts and outside business activities. In addition, the solution validates trades for commission payment based on registered representative licenses.

M&O's solution also allows for firms to quickly respond to regulatory requests for data (sweeps) in timely and easy format that is consistent with the format the regulators request. M&O's system is tied to payouts as opposed to trades.

Key Features:

• Trade monitoring and suspended broker compensation under firm policies. All modifications of trade processing are noted automatically and users can add comments. Warnings are provided on trades with less critical problems.
• Customers, brokers and products can be restricted. Virtually any data field in a transaction can be used to create an exception report. The exception report can be summarized, formatted and sorted according to user preference.
• Sarbanes-Oxley audit trail
• Anti-money laundering compliance
• Continuing Education compliance
• Registered Representative licensing validation checks
• NASD and state licenses
• Insurance appointments
• Selling agreements
• Blue Sky
• Data on reports can be exported directly to excel or other comma delimited or XML applications for auditing.
• Time stamp and user name on changes to sensitive records are recorded and maintained in the Serve Me! Suite Knowledge Base.
• Automatic modifications of rights and entitlements to data access when there are organizational, broker, product, splits, and other changes.

One View... Unlimited Opportunities!

The Supervision and Compliance Solution provides a One View to ensure that a firm is meeting its supervisory and regulatory obligations, at virtually any level within the enterprise.

By automating the supervisory and compliance functions and by tracking compliance related activity, firm's using M&O's Supervision and Compliance solution typically reduce their overall supervisory and compliance costs, mitigate risks and increase their success rates as the can become more proactive and less reactive to compliance-related activities.

View The Solution!
Click on the images to the left to view how easy the Supervision and Compliance solution is to use.

M&O's integrated enterprise data management solutions provide powerful data collection, integration and consolidation tools for virtually every constituency in a financial service supply-chain. No matter what role you play in your firm's overall success, M&O has a solution that will unleash unlimited opportunities to enhance growth and profitability.