SEC-Regulated Companies
Automatically notify stakeholders of compliance and audit status. Oversee company audits and risks to protect investors and maintain regulatory compliance.
See how compliance and risk for multiple business domains within your organization impact each other, using our customizable and standardized taxonomies for control families, phases and classes.
FedRisk allows securities and exchange-regulated organizations to track risks for the following areas:
- Risk Modeling
- Compliance and Reporting
- Enforcement Actions
- Market Surveillance
- Stress Testing
- Risk Metrics
Take steps to proactively reduce risk by prioritizing what’s most critical. When your reports are based on data that is current, reliable and easily accessible cross-agency, your reaction to risk can be accurate and targeted.
Applicable Regulations:
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); Volckler Rule; Jumpstart Our Business Startups Act (JOBS) Act; Regulation Best Interest (Reg BI); Rule 10b-5; Rules 14a-9