Financial Services
Have greater confidence that you are within the regulatory guidelines for investing in capital markets.
Consolidate all your audit and compliance assets and supporting materials to minimize error and stay on top of all threats in one place.
Conduct the entire RMF process, track risks at each stage, notify stakeholders of action items, and view real-time project status reports.
- Board oversight
- Reporting and Transparency
- Documentation and Recordkeeping
- Cybersecurity Risk Management
- Performance monitoring
Applicable Regulations:
Federal Reserve; CFPB; Fair Lending Laws (ECOA, HDMA); Dodd-Frank Wall Street Reform & Consumer Protection Act; Securities Laws (Securities Act of 1933; Securities Exchange Act of 1934); Investment Company Act of 1940; Investment Advisers Act of 1940; Sarbanes Oxley Act (SOX); Gramm-Leach-Bliley Act; Bank Secrecy Act (BCA); Anti-Money Laundering (AML) Laws;