GRC Tools


Regulatory Monitoring

Regulations are changing at a rapid pace. Even a minor change to a regulation can result in your policies, procedures, processes, or training being out of date. Now, more than ever perhaps, it is imperative to monitor closely regulatory developments and changes.

In addition to our Regulatory Change Management GRC Tool, we offer a market-specific regulatory monitoring solution for Global Wealth Managers and Independent RIAs, known as the Regulatory Matrix.

The Regulatory Matrix (Reg Matrix) is an online resource to help compliance and supervisory personnel monitor the regulatory environment specific to Broker-Dealers and Registered Investment Advisers. Users have access to daily updates that include clearly written, plain-English summaries of regulatory initiatives, changes, and enforcement actions, that help you identify regulatory change management issues.

When viewing the daily updates, users can see related information including Regulations, Impact Statements, and, when combined with our other GRC Tools, your related controls, policies, procedures, training courses, etc.

Contact us to learn more about how the Reg Matrix can keep you on the know.

Intended Audience

     - Broker-dealers
     - SEC- and state-registered RIAs
     - Dually registered BD/RIA firms
     - Independent RIAs
     - RIA networks and custodians

Regulators Covered

     - SEC
     - FINRA/MSRB
     - FinCEN
     - NASAA
     - State securities regulators, including those of all 50 states, Puerto Rico, District of Columbia, and U.S. Virgin Islands

Current.  Clear.  Connected.

Key Features

Current

Clearly written, plain-English summaries of regulatory initiatives, changes, and enforcement actions updated daily.

Clear

Easy-to-use interface with easy access to headlines, regulatory actions and regulations.

Connected

Integrate your policies and procedures with the Reg Matrix to quickly see which policies/procedures may be impacted by a rule change and track those changes in the Regulatory Change Management GRC Tool.

Learn more about what we do

Request a Demonstration