Sentry Compliance, an SaaS Regtech Solution

INTEGRATED APPROACH TO COMPLIANCE MANAGEMENT

SENTRY

RND Resources Inc | Woodland Hills CA Integrated Compliance

www.finracompliance.comPh: (818) 657-0288

Integrated Approach to Compliance

Centralized Policy Management

Electronic Attestation of Policies and Procedures

Organized compliance checks, assignments & workflows. Dashboards help manage reviews and uncover issues.

Regulations Library: lookup, search, add

Manage Annual Reviews Calendar

Marketing Materials & Advertising Review

Advisors & Reps submit Client Information online and request suitability review + account opening review

Investor Compliance: suitability review, account opening, annual review, allocations, fees & billing, AML, client mgmt

Account Opening: Customer Due Diligence

Investor: Automated Trade Monitoring

Online Client Portfolio Review

Client Communication: send & receive information securely marketing material, tax information, and more

Client Suitability Review: sort & group

Manage Client Complaint: follow up & record

Customize Trade Restrictions & Watchlist

Automated Trade Monitoring and Personal Trade Review identify issues & mark issues manually

Buy/Sell Trade Trends: charts & graphs

Trade Trend Bar Charts

Track IT Inventory & Governance

Vendor Risk Management

THE END

SENTRY

www.finracompliance.comPh: (818) 657-0288

Get Sentry Today ! Call (818) 657-0288for more information

Sentry Compliance, an SaaS Regtech Solution

Data & Analytics

Minimising cost of regulatory compliance through RegTech ... · • The benefits of the SaaS service, such as: not having to maintain infrastructure, to manage software upgrades,

RegTech Radar 2020 - Wavestone

Nordledger regtech 2017_02_09.pptx

EBA ANALYSIS OF REGTECH IN

Sentry Basic

RegTech Top 21 A Global View of RegTech Innovation · In 2016, $678 Mn was invested into 70 RegTech deals (source: FinTech Global) •Regulatory changes have increased by 492% (2008

RegTech feedback statement

FinTech Control Tower - The RegTech Association - Home · FinTech Control Tower - RegTech 6 THE DEFINITION OF REGTECH IS UNDERSTOOD DIFFERENTLY ACROSS THE INDUSTRY; THE FCT IDENTIFIED

Sentry : Solutions for the Data Center Equipment Cabinet Sentry

Breaking down global RegTech barriers

The rise and rise of RegTech - Ernst & YoungFILE/ey... · The rise and rise of RegTech ... EY’s Technology Pulse series for Asset Management ... managers with more advanced RegTech

Sentry 10/20/30 Hipot Tester Sentry CE 15/25/35 Hipot ...clevertronix.com/files/Download/hipot/Quadtech Sentry 10 Hipot... · Sentry 10/20/30 Hipot Tester Sentry CE 15/25/35 Hipot

FinTech, RegTech and SupTech: What They Mean … RegTech and SupTech... · FinTech, RegTech and SupTech: What They Mean for Financial Supervision AUGUST 2017

Financial Services Club Cook FCA... · FCA feedback statement on RegTech CFI published TechSprint 1 The FCA RegTech roundtables London FinTech week speech on RegTech and AI FCA and

Regtech in Fintech + QuSandbox Demo

RegTech Discussion within IOSCO Framework

ASIC’s Regtech Liaison Forum · 12/12/2018 · –Issue: privacy compliance ... ASIC RegTech Liaison Forum December 2018 Deborah Young, CEO The RegTech Association. From an industry

Innovating with RegTech - EY… · Executive summary 01 The evolution of RegTech 02 RegTech ecosystem 04 Market insights 06 RegTech benefits 08 Compliance by design

The Sentry

RegTech article combined