Manage your Broker Dealer’s compliance simply and efficiently.
KoreConX provides online compliance that assists broker dealers with due diligence and Know Your Product (KYP) on issuers, as well as all Know Your Client (KYC), suitability, ID verification, anti-money laundering (AML), investor verification and payments for investors.
When issuer and investor compliance management issues are taken care of, the focus can then be placed on running and growing your firm's business.
Staying organized and compliant at all times makes regulators happy.
With historical and current data stored in KoreConX in a consistent manner it makes access to information instantaneous.
Keeping all your deal and investor information organized makes your regulator compliance audits easier.
Run your broker dealer with confidence that your compliance is taken care of.
Your compliance officer has what they need to effectively manage all your compliance in one spot.
Tracking of issuer and investor information and documentation has never been this easy. Have all compliance and regulatory reporting at your fingertips:
- Investor KYC, Suitability, ID Verification, AML and payments
- Issuer KYP and due diligence
- Reporting and historical tracking
- Compliance audit management
- And More
Ash Sando, Chief Compliance Officer (CCO), Bellotti Capital Partners.
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