COMPLIANCENERDOS

Owner

Goods & Services

Testing, analysis, and evaluation of the financial planning, investment, and banking services of others to assure compliance with financial industry standards; Testing, analysis, and evaluation of the financial information computer databases of others to assure compliance with financial industry standards; Software as a service (SAAS) services featuring software for financial industry regulatory compliance, namely, for analyzing data, evaluating financial transactions, tracking compliance deficiencies and remediation efforts, generating reports, sharing documents, monitoring operational risk, tracking compliance program effectiveness, managing heightened supervision of advisors, documenting compliance violations, managing workflow operations, accessing educational content, and for client case management; Software as a service (SAAS) services featuring software for testing and evaluating financial and securities transactions, processes, and operations to ensure regulatory compliance; Software as a service (SAAS) services featuring software for financial, securities, and legal regulatory compliance, namely, for analyzing data, evaluating financial transactions, tracking operational deficiencies and remediation efforts, generating reports, sharing documents, monitoring operational risk, tracking compliance program effectiveness, managing heightened supervision of advisors, documenting compliance violations, managing reporting operations, accessing educational content, and for client case management; Software as a service (SAAS) services featuring software for electronic storage of documents for document retention