Sircon for Securities Firms

Securities and insurance compliance all in one.

With new securities laws and regulations surfacing each year, broker-dealers (BDs) and investment advisory firms (IAs) must devote ever increasing resources to compliance. The burden is even higher for those selling variable or other insurance products, and non-compliance isn't an option.

With Sircon for Securities Firms, you can automate the processes essential to get your advisors compliant and authorized to sell. Plus, you get an enterprise-wide view of all required activities to supervise and keep those advisors compliant.

Licensing & registration made easy

Streamline the registration process and collect information from advisors without leaving the system.

Complete advisor record

Get a 360° view of your advisors with a single records repository. 

Avoid conflicts of interest

Identify, manage, and mitigate conflicts of interest related to outside business activities (OBAs) and private securities transactions (PSTs).

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