Financial Regulatory Compliance

Market Insights. Regulatory Oversight.

The financial regulatory process is challenging. Regulatory professionals are tasked with chartering and examining depository institutions, non-depository institutions and securities, as well as enforcing institution statutes. The goal? The promotion of a fair and sound financial marketplace.

Centralized Information

Keeping track of the various relationships between individuals and businesses can be a monumental challenge. From initial application to examination and enforcement, MicroPact’s Financial Regulatory Compliance solution brings all of your regulatory oversight capabilities together in a single enterprise case management application, enabling you to evaluate a myriad of interrelated data and quickly act upon it.

Data Sheet

Financial Regulatory Compliance Data Sheet

Explore why financial regulators in 18 states have entrusted their programs to MicroPact.

Registration, Examination and Enforcement

MicroPact’s Financial Regulatory Compliance solution is essentially three applications in one – all organized around a centralized database. From registration to examination to enforcement, state regulators are able to:

  • Charter, register and license financial entities and securities filings, including fee and renewal tracking
  • Conduct examinations and audits, including scheduling, recording results, calculating risk ratings, tracking problem entities, and billing
  • Manage the full lifecycle of enforcement activities, including complaints, investigations, actions, and dispositions

With a single, integrated application – across agencies, divisions and states – regulators are able to safeguard the integrity of financial markets at every step.

Regulated Entities

  • State chartered banks, savings banks, savings and loans, national banks, credit unions, holding companies
  • Check cashers, money transmitters, mortgage loan brokers, mortgage loans originators, escrow agents and officers, small loan lenders, consumer loan companies, payday lenders, ATM operators, consumer credit service organizations
  • Financial instruments including stocks, bonds, and mutual funds

Connecting the Financial Oversight Lifecycle

Built-in workflow, search, audit trail, transaction, reporting, and routing functions streamline everyday tasks, while custom interfaces, configurations and reports enable each agency to meet its specific needs. Standard interfaces to BlueExpress, NMLS and other major systems reduce redundant data entry while simplifying information sharing and analysis.

Case Study

Alaska Division of Banking and Securities Case Study

The Last Frontier State Streamlines Regulatory Oversight With STAR Financial

Customers using MicroPact's Financial Regulatory Compliance Solution Include:

Kansas State Banking Commission

FL Office of Financial Regulation

WA Department of Financial Institutions

Alaska Division of Banking and Securities

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How did we come to serve 98% of U.S. states and 97% of federal organizations with case management and BPM solutions? By helping people like you. Please complete the form below to initiate the scheduling process.