SEC Compliance Software For RIAs Offers Automated Personal Trade Monitoring

When it comes to compliance in the financial services sector, mistakes can be costly. Thankfully for RIA firms, a Scottsdale, Arizona-based software company has developed a product that keeps you and your employees on the right side of the regulations!

For the swiftest and simplest trade monitoring solution, work with RIA Compliance Technology! More details at  https://riacomptech.com/simple-trade-monitor/

There’s never been an easier way to navigate the submission and approval process for employee trades to eliminate conflicts of interest and the possibility of penalties and fines. Thanks to automated software, you get a unified system that incorporates the recording and tracking of personal securities transactions and personal securities holdings.

Will This Save Me Time?

Oh yes. RIA Compliance Technology’s Simple Trade Monitor system addresses many common pain points for RIA firms such as the labor-intensive and time-consuming process of manually checking trades. Wouldn’t it be nice not to have to do THAT anymore? The company's automated technology incorporates data gathering with built-in compliance checks and processing procedures.

No More SEC Stress 

The SEC requires personal trade monitoring for Registered Investment Advisors (RIAs) to prevent conflicts of interest. It prohibits the use of sensitive, insider information for personal gain - and comprehensive record-keeping is required to demonstrate the integrity of investment firm employees.

Can I Ditch The Paper Records?

Yes. The company’s personal trade monitor eliminates the need for the gathering and checking of paper investment statements, reducing material waste and freeing up all that space you need for paper archives.

In addition, the automated software reduces manual errors and increases efficiency with faster processing. We integrate the trade monitor with leading financial data providers’ systems to ensure timely and accurate reporting.

How Do I Check On Individual Cases?

All trades can be reviewed via the online portal. You can upload your desired restrictions and pre-trade approval parameters and receive automatic notifications when conflicts arise.

RIA Compliance Technology emphasizes the importance of harnessing technology to make regulatory checks and balances easier to implement.

“RIAs can simplify their compliance process, making it more responsive, adaptable, and transparent. In a high-stakes industry, where precision is non-negotiable,” a spokesperson explains. “RIA Compliance Technology offers optimization, enabling firms to stay atop of regulations while providing the best services to their clients.”

The Simple Trade Monitor is part of RIA Compliance Technology’s extensive suite of compliance tools for RIAs, which includes a Compliance Calendar, Form ADV solutions, and archives for email, SMS, and websites.

You can schedule a 60-minute demonstration session or a 30-minute discovery call with a RIA Compliance Technology team member.

Compliance doesn’t have to be complex. Simplify your trade monitoring with RIA Compliance Technology!

For more info, go to https://riacomptech.com/