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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