industry

Investment Services

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

01 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.

02 Centralize Your Risk Management

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.

03 Handle Audits With Ease

Thanks to LogicGate's robust reporting, documentation, and signoff features, you'll be ready to hand over investigation and case proof in the event regulators come knocking.