At ActiveComply, we know the compliance concerns regulated institutions face are ever growing. From customer data protection requirements, to auditing employee workspaces, to abiding by consumer advertising finance laws, regulated employees for these institutions require a robust level of compliance supervision. ActiveComply serves a wide variety of regulated institutions, including:
Banks are financial institutions where account holders can make deposits into various checking & savings accounts, apply for loan products, and perform other financial actions. Regulated primarily by the FDIC, banks are especially wary of not only compliance concerns but also any brand reputation issues that might arise.
Credit Unions provide services to a membership base, often including retail banking, deposit accounts, mortgages, auto loan refinancing, etc. Under the oversight of the NCUA, Credit Unions and their licensed employees must interact with their members compliantly when encouraging the use of multiple financial products.
Wealth Management Firms
Brokerage firms and exchange markets generally fall under the heading of wealth management firms. Wealth management firms provide financial advisory and promote wealth management services to consumers. Primarily regulated by FINRA, individual brokers and management firms alike fall under intense scrutiny for consumer protections.
Outsourcing & Recruiting Firms
Outsourcing firms are often utilized by regulated industries to handle various business responsibilities previously handled by internal staff. Regulated in the United States in part by the Federal Reserve, the OCC, FINRA, and the FDIC, outsourcing firms, and other heavily regulated businesses, rely on ActiveComply everyday to provide automated compliance solutions.