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.
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.
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.
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.
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
Request a Demo of Financial Regulatory Compliance.
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.