Broker / Dealers

Broker-dealers are required to comply with regulations as set forth by FINRA, MSRB, and SEC. Broker-dealer firms have supervisory obligations as required under the SEC, which constitutes there are reasonable supervisory practices performed by in-house compliance personnel with respect to registered representatives within the firm.

Presensoft's Compliance & Archive solution suite allows a member with supervisory or administrative status to manage employee correspondence with members within or outside of the firm. Track, log, audit, and restrict employee conversations and interactions all in one central console. From instant messages to social media sites, Presensoft is your compliance solution.

Let us help you!

  • Record and track instant messages, emails, social media, and website access
  • Keep logs for as long as required by the major regulating bodies
  • Get instant notifications when someone performs a non-compliant action

 

Learn More About Our Products »

Learn More About Our Products

 



Presensoft Compliance Solutions for Brokers

 

IM Compliance & Archive

 
Whether your company uses public IM, Microsoft Lync, YellowJacket or ICE chat, Presensoft's IM Compliance & Archive solution will monitor, track, and log all conversations.

Learn More about IM Compliance & Archive for Broker Dealers

 

 

 

 

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