One program. Multiple monitoring inputs.
OBA & Private Securities Activities
Disclosure, review, approval conditions, changes and reassessment.
Outside Accounts
Applicable outside brokerage and securities-account disclosure and monitoring.
Client & Representative Activity
Activity requiring additional supervisory or conflict review.
Public Records & Background Reviews
Periodic and event-driven review designed around the firm's defined risk criteria.
Registration / Disclosure Changes
Changes that may affect registrations, disclosures or supervisory treatment.
Exceptions & Evidence
Centralized review, escalation, resolution and documentation.
Disclose→Identify→Review→Risk-Rate→Condition→Monitor→Escalate→Resolve→Evidence
Covered Personnel
Registered Representatives, IARs and other covered persons.
The program can be structured around the populations, monitoring sources and supervisory responsibilities relevant to the firm.
Discuss a conflict-management program
Tell us what you are trying to accomplish and where you are in the process.