Financial Regulatory Compliance Software

A Complete Financial Regulatory Compliance Software Solution.

State financial regulators are tasked with chartering and examining depository institutions, non-depository institutions and securities, as well as enforcing state statutes. The goal? Regulatory compliance and the promotion of a fair and sound financial marketplace.

Centralized Financial Regulatory Oversight

From initial application to registration, examination, and enforcement, MicroPact’s Financial Regulatory Compliance software solution brings all of your regulatory oversight capabilities together in a single enterprise case management application. Having all of the information in a centralized place lets you evaluate interrelated data and quickly act upon it.

Data Sheet

Financial Regulatory Compliance Software Data Sheet

Explore why nearly half of U.S. states have selected MicroPact solutions to regulate financial institutions in their jurisdiction

Compliance Software for Financial Regulators

MicroPact’s Financial Regulatory Compliance software solution is essentially three applications in one – all organized around a centralized database. With it, 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 Financial 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 Regulatory 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 Software Solution Include:

Kansas State Banking Commission

FL Office of Financial Regulation

WA Department of Financial Institutions

Alaska Division of Banking and Securities

Request a Demo of Financial Regulatory Compliance Software.

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.