egulatory compliance has become one of the most critical but cumbersome processes to manage. Corporate compliance departments continue to add staff and implement internal processes to analyze and monitor employee adherence to firm policies and procedures. However, lapses in regulatory compliance are still apparent throughout the industry. To comply with current SEC regulations and FINRA supervisory guidelines, companies must have well trained corporate compliance staff but also logical regulatory compliance.
Compliance11™ was founded to meet the needs of corporate and financial compliance professionals. The Company is a leading supplier of software as a service for the compliance industry. Compliance11′s Supervisor Suite of financial compliance products enable companies to automate and effectively manage four critical regulatory compliance areas; personal trading, gift management, affirmations & disclosures and case management with ease.