Governance, Risk Management, and Compliance for Investment Services Firms
As an investor, you trade in risk. With every investment strategy there's always a chance results won't live up to projections. While you work hard to reduce investment risks, you may not have the tools to keep regulatory and compliance risks under control. With LogicGate, you can operationalize the most critical risks to your enterprise and focus on your customers.
LogicGate for the Investment Services Industry
Stay Compliant in a Complex Regulatory Environment
LogicGate can help your firm stay on the right side of a dizzying array of regulations and compliance requirements — including the OCC, Federal Reserve, CFPB, SEC, CFTC, and FINRA.
Not only are risks complex, they can change regularly depending on the economy, who's in office, and several other factors. LogicGate's software helps your firm break out of its reactive stance to risk and stay adaptable to changes at local, state, and federal levels.
"The flexibility offered by LogicGate was one of the key drivers for selecting the system and has enabled us to design processes that mirror our risk framework. It has enabled the business to have timely access to a single source of fact for all risk framework data."