Why Compliance11?

In today's regulatory environment, firms are challenged to comply with changing SEC, FINRA and CFTC supervisory guidelines. The Compliance11™ Supervisory Suite was developed specifically to address these challenges for:

Benefits

Compliance11's Supervisory Suite can help you improve your supervision program and reduce your supervision costs up to 25%.

Save Time and Improve Supervision
Compliance11's Supervisory Suite frees compliance departments from the burden of managing paper-based processes. Instead they can focus on reducing risk for their organization.

Create a Culture of Compliance
Compliance11's Supervisory Suite makes it easy for employees to complete compliance related tasks, thus reducing the possible occurrences of non-compliance. By simplifying the compliance process, managers can quickly respond to regulatory requests with electronic reports, increasing confidence that the firm is well managed.

Transparency of Compliance Issues
A centralized repository of data and historic audit trails allow compliance management to quickly identify problems before they become regulatory issues.

Prepare for Regulators
Compliance11's Supervisory Suite stores all of the data electronically. This allows reports to be generated quickly to meet regulatory information requests.

Differentiators

Compliance11's Supervisory Suite of regulatory compliance solutions is delivered using industry leading Software-as-a-Service (SaaS) technology which sets Compliance11 apart from other alternatives.

Cost Effective
The total cost of ownership of SaaS (hosted software) solutions is 1/10 to 1/100 of that of packaged software solutions.

Easy to Implement
Compliance11's Supervisory Suite can be implemented in days with little or no IT involvement. No hardware or software installation is required and updates are applied automatically.

Robust Environment
Compliance11's hosted environment is provided by Rackspace, a leading internet hosting provider. The environment has redundant servers. If one of the servers goes down, users can log in again in minutes. No data will be lost. In case of disaster, Compliance11 has a redundant environment at another location which can be operational hours. At most, two hours of data will be lost.

Data Security
Compliance11's security model is more secure than most IT departments. Web browser traffic uses 128-bit SSL encryption. Backend data feeds use PGP encryption. The website is hosted in a physically secure facility, has an intrusion detection system (IDS) and has been penetration tested by a third party. For added protection, certain fields in the database are also encrypted.

Effortless Upgrades

Plug-n-play Brokerage Feeds
All you have to do to receive electronic brokerage feeds is complete paperwork and 1-2 weeks later data starts showing up in the system. No involvement from your IT department is necessary. (Certain brokerages are more involved and require more time.) This is possible thanks to Compliance11's relationship with Evare, a leading financial data aggregator.

Free Customizations
If you need a feature, chances are others also need that feature. We take your idea and prioritize it with help from our user community. We add new features in each quarterly release. There is no additional charge to you.

Security Master
Compliance11's security master supports 120 stock exchanges in 90 countries. There is no additional charge to setup or use the security master.