Ragini Communications Inc.
Compliance Memo & Notices Solution   

This Compliance Memo & Notices Solution provides firms the ability to let their brokers, sales managers, employees, operations staff and other partners to be always aware of the latest internal compliance related communications, legal notices & memorandum.


RCI's Compliance Memo & Notices Solution benefits:

  • Memo & Notices of latest compliance rules and regulations to brokers, operations & employees.

Challenge

Fast changing legal environment and disbursed locations require an efficient way to communicate legal notices & memorandum, date specific notification as well as internal communications. The challenges are thus:

  • Communicating with brokers, sales managers, employees and other operational staff regarding the latest rules and regulations.

  • Complying with restricted stocks trading and other related mandatory information.

  • Tracking if the communication has been seen by those who were suppose to receive the information.



Solution

Key Capabilities

  • Integrated with Microsoft Office tools & Adobe PDF

  • Generate reports to identify who has read which notice

  • Create Legal notices, memorandum, restricted stock notices

  • Use PDF, Microsoft Office tools

  • Use Email & Website to track the tools


Compliance Memo & Notices solution helps you create compliance and legal notices.

These legal notices can then be sent via email to the selected group. This group can be your brokers, or employees or interested third party.

This solution further lets the compliance officer monitor the status of the notice i.e. if the notice has been read, view and respond to follow-up questions & clarifications.



Benefits
  • A central place to create notices/memorandum etc required for compliance

  • A library to store notices

  • Website to view/post notices

  • Ability to track notice read

  • A single location to create, send and track notices sent




Features

Category Feature
Manage Notices Create / Edit Memo Notices
  Notice Scheduler
  Notice E-Mail Transmission Status and resend
  Reply to comments on Memo Notices
 
Employee / Review Notice Site Access to site using Name and email Address
  Add Comments and Confirm understanding of Notice
 
Data Load Daily Customer Load
 
Other Common Security Module
  Audit Manager to log all user actions
Agency Compliance

U.S. Securities and Exchange Commission (SEC)
http://www.sec.gov/



Reports
Data Warehouse provides enhanced reporting. Key out of box report includes:

Title
Pending Notices
Notices Without Confirmation
Log of Comments

Process & Data Approach


Initiate Customer, Staff Communication Process

Centralized Dashboard with summary of Notices, scheduler & comments.


Create Notice & attach document

Ability to create new Notice and author or upload notice document using Notice Wizard.


Schedule Notice for Transmission

View list of existing schedules as well as create new Notice publishing schedule.


Customer, Staff : Review Notice & Document

E-mail to be sent to each Customer & Staff member who is a recipient of the Notice to log on to Notice website and review notice document.


Customer, Staff : Confirm Understanding of Notice

This feature shows employee confirmation regarding understanding of notice contents published for review.


Track Notice Confirmations

This feature shows log of comments for Each Notice. This feature helps Compliance Officer to track confirmations received for each Notice published.


 

Summary of Audit Per Application

 

Mutual Funds | Hedge Funds | Liquidity Funds | Private Equity Funds | Real Estate Funds | Venture Capital Funds | Securitized Asset Funds |Form PF | Form ADV | Form CTA-PR | Form CPO-PQR | CFTC | CFPB | SEC | OFR | Banks | Brokerages | Insurance | Money Service Business | Futures Merchants | Mortgage Companies | Mortgage Brokers | Mortgage Lenders | Mortgage Originators| Casinos | Card Clubs | Compliance | Software | Credit Unions

Copyright Ragini Communications Inc. 1996 -

Best viewed in 1024 x 768 Resolution Sitemap