For compliance teams, pulling it all together is a complex and laborious process fraught with the perils of what might have been missed along the way. The Manager platform makes it easy to monitor your offices, facilitate communication, meet your regulatory requirements, build and maintain a library of your documentation, track workflow, map risk, and complete post-trade compliance testing and reporting.
About the Client
The client is an independently owned asset manager with $5-8 billion assets under management controlled by more than 150 branch offices located in every US state. Operating as an aggregator of independent advisers, Company Z is charged with the supervision of more than 2,000 employees. Additionally, many of these individuals are dually registered and operate both as investment advisers and registered representatives of the company’s broker-dealer.
Fill in & submit the form below to download this Case Study
Your download will appear below momentarily.