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Compliance Management

Make Compliance, Supervision and Surveillance a Breeze

Streamline Compliance Across Advisors, Prospects and Clients

Supervision

Sycamore gives firms the confidence in meeting regulatory and audit requirements -accurately and on time – while connecting advisors and their teams to the supervision process. Efficient online interactions and workflows help teams to access, track and route documents, and manage information between advisors, compliance and registration officers.

Advisor
Management

New Business
Process

Compliance with
17a3 History Tracking

Regulation Best Interest (Reg BI)

Surveillance and Data

Sycamore’s normalized data and automated workflows let you manage all interactions with advisors, prospects and clients, while keeping your information consolidated and organized. We can also tailor business rules and workflows to your firm’s specific supervisory/surveillance controls, and help you capture valuable insights that drive improvements across the compliance function.

Data and Analytics