Case studies

Minimizing Compliance Costs

Our client did not have an internal strategy or policy associated with correctly saving its financial…

Reducing Storage Space

One of the largest regulators in the US issued a consent order and a financial penalty on our client’s broker…

Frequently asked questions

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.

Let us help you feel confident in a
complex regulatory world

Let us help you feel confident in a complex regulatory world

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Speak with a compliance expert today to learn how your enterprise
can benefit from Infobelt’s services.

Rijil Kannoth

India Operations and Special Project Manager

Rijil is the project manager of Infobelt’s products and is responsible for overseeing the day-to-day operations of our India teams. His process improvement expertise guides Infobelt to standardize daily operations and create a structure around product development.

John Pinto

Chief Operating Officer

John has spent 15+ years in the bankruptcy, M&A, lending, and operations industries, most recently in compliance operations at Deloitte LLP. His background ensures that Infobelt’s world-class products will continue to solve the biggest challenges facing regulated entities today.

Kevin Davis

Founder and Chief Delivery Officer

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.