Our client did not have an internal strategy or policy associated with correctly saving its financial…
One of the largest regulators in the US issued a consent order and a financial penalty on our client’s broker…
Infobelt typically follows a two-part project approach. During the compliance assessment phase, we will evaluate your regulatory environment and develop a customized compliance roadmap. This phase typically takes three weeks. During the technical support phase, we will map and pilot technical platforms and train team members on proper use. Typical installation timing ranges from 3-12 months, depending on the size of the client.
Infobelt’s platform eliminates the need to purchase and integrate various components from a variety of vendors, which can result in loss of time, increased complexity, and higher costs. Our product suite integrates directly onto a user’s pre-existing platform, allowing for simpler maintenance and no hidden upgrade costs.
Infobelt will provide your team with the necessary tools, technology, and knowledge in order to fully control compliance activity. If requested, Infobelt can provide continued guidance.
Businesses typically do not have appropriate compliance tracking tools; therefore, departments only realize they are out of compliance after a regulator issues a disciplinary action. Infobelt’s products provide a real-time view of regulations and user attestations, which directly informs the related business unit of potential focus areas
Infobelt products help streamline and simplify traditional compliance processes. We implement an easy-to-use platform that communicates user tasks, department responsibilities, and compliance status. Our clients have reported significant reductions in cost (people and time) due to our efficient technologies.
Failure to comply with FINRA and SEC rule requirements can result in violations against an individual or a firm. When an individual is sanctioned, the Financial Principal or responsible party will be fined and suspended. When a firm violates a regulation, the business as a whole is responsible for remediation. For both individuals and firms, repeated violations carry additional sanctions, which can include a lengthy suspension or expulsion from doing business.
Ensuring compliance requires a specific, detail-oriented, and thorough group of people to ensure that every task is being managed and resolved. The ever-changing regulatory environment has made it even more difficult for even the largest entities to have the in-house capabilities required to stay up-to-date on regulations and associated tasks. Infobelt can assist your team by integrating multiple areas of compliance into a comprehensive and streamlined management system.
During the compliance assessment phase, Infobelt will evaluate your regulatory environment and develop a strategic risk mitigation plan. This plan will immediately address any short-term operational disruptions and out-of-compliance processes.
No. Violations can range in seriousness and fiscal amount. Failure to be compliant can expose businesses to consent orders, MRAs/MRIAs, reputational risk, and even loss of business license.
Speak with a compliance expert today to learn how your enterprise
can benefit from Infobelt’s services.
Rijil is responsible for overseeing the day-to-day operations of Infobelt India Pvt. Ltd. He has been integral in growing Infobelt’s development and QA teams. Rijil brings a unique set of skills to Infobelt with his keen understanding of IT development and process improvement expertise.
Kevin is a co-founder of Infobelt and leads our technology implementations. He has in-depth knowledge of regulatory compliance, servers, storage, and networks. Kevin has an extensive background in compliance solutions and risk management and is well versed in avoiding technical pitfalls for large enterprises.