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    Compliance Management

    Make Compliance, Supervision and Surveillance a Breeze

    Streamline Compliance Across Advisors, Prospects and Clients

    Supervision & AML

    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.
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    Advisor
    Management

    • New business reviews and processing
    • Transaction pre-approvals and monitoring
    • Advisor submissions for approval
    • Compliance questionnaires and attestations
    • Advertising
    • Registrations and licensing renewals
    • Advisor gift and entertainment management
    • Customer complaint management and reporting
    • Check and certificate blotters
    • Trade blotter monitoring
    • And much more…

    New Business
    Process

    • Client and investment profile configurable fields
    • Validation rules
    • Licensing checks and approval routing
    • Transaction pre-approvals and monitoring

    Compliance with
    17a3 History Tracking

    • Account history tracking of FINRA required material changes
    • Advisor notification dashboard of clients coming due for updates and client letters

    Regulation Best Interest (Reg BI)

    • Documentation, monitoring and regulatory review of required RIA annual client meetings
    • Transaction rationale documentation and surveillance
    • Delivery of Form CRS and recordkeeping

    Data and Analytics

    • Transaction review and suitability – out of the box, configurable settings
    • Breakpoint monitoring
    • Concentration of securities
    • Commission tracking
    • Powered by Salesforce's Tableau CRM (formerly Einstein Analytics)

    Surveillance and Data

    Sycamore’s normalized data, configurable alerts and automated workflows will truly modernize your firm’s surveillance and analysis. Sycamore allows you to 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.
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