Regulatory Change Management
 for Broker-Dealers

Reg Matrix

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In the current highly scrutinized regulatory environment, management needs to know that their policies and procedures are consistent with the regulations they represent. Regulatory change management, via the Regulatory Matrix, keeps your compliance staff up-to-date with the ins-and-outs of the ever-changing regulatory environment.
 
Clearly written, Plain-English summaries of regulatory initiatives, changes, and enforcement actions keep your team in the know, while convenient links to your related policies help to identify necessary modifications.

Reg Matrix for BDs is designed specifically for:
  • Retail Broker-Dealers
  • Global Wealth Management Firms
  • Registered Investment Advisory Firms (RIA)
  • Hybrid RIA Firms
Regulatory Index
CFM maintains a library of regulations from the SEC, FINRA, MSRB, FinCEN, and state regulators (as well as others) filtered by regulator, category, and topic.
Daily Regulatory Updates
CFM monitors multiple regulatory sites and filters, summarizes, and centralizes headlines, enforcement actions and regulatory notices daily. These daily News Items are tag to the regulatory index; so you can filter by regulation, category, or topic. Automated email notifications help keep you up-to-date on the issues that matter most.
Impact Statements
Our partner,  Accordo , reviews the daily News Items and highlights noteworthy entries with Impact Statements designed to provide key considerations for forward-looking compliance.    
Impact Assessment Workflows
Coming Soon. Impact Assessment Workflows flag a News Item and assess its impact on your business. Online forms help you organize your internal assessment. Automated workflows let you route the information to other key decision-makers and document  your action plans. 
Link to Policies and Procedures
Upgrade Required. With the addition of the Policies and Procedures Management module, you link your policies and procedures to related regulations and topics to fully integrate the regulatory change management process. Click here to learn more about policy and procedure management. 

FEATURES

  1. NEWS ITEM SUMMARIES
    NEWS ITEM SUMMARIES
    0
    We review and summarize Headlines, Enforcement Actions, and Regulatory Notices daily.
  2. IMPACT STATEMENTS
    IMPACT STATEMENTS
    2
    When appropriate, Accordo annotates News Items with practical guidance regarding the application of the many changing rules and regulations to daily operations.
  3. EMAIL NOTIFICATIONS
    EMAIL NOTIFICATIONS
    4
    Don't miss out. Set email notifications to alert you of new content by content type and topic.
  4. REGULATORY DATABASE
    REGULATORY DATABASE
    1
    We monitor State and Federal regulatory authorities, including the SEC, FINRA, MSRB, and FinCEN.
  5. FILTER CONTENT BY TOPICS
    FILTER CONTENT BY TOPICS
    3
    Filter your view of the Matrix to only show the categories and topics that you care about.
  6. FLAG FOR FOLLOW-UP
    FLAG FOR FOLLOW-UP
    5
    Flag important Headlines, Enforcement Actions, and Notices for follow-up.