CAS Compliance and Supervision

Trusted. Proven. Secure.

CAS delivers advanced compliance and supervision capabilities for regulated firms, registered investment advisors, and organizations facing challenging regulatory obligations. CAS includes automated policy enforcement, enabling regulated organizations to enforce supervision and related recordkeeping / data preservation requirements while monitoring users’ adherence to a wide range of national and international regulatory agencies. With CAS, you have access to powerful features, including concept searching, automatic categorization, case management, and real-time and post-process monitoring.

Product Highlights

  • Comprehensive supervisory capability for monitoring groups and individuals for specific regulatory obligations per the latest rule changes
  • Streamline your supervision efforts with automated review routing, escalation paths, and customizable workflows

Core Capabilities

Maintain Regulatory Compliance

CAS supports streamlined compliance review with customized email supervision policies and audit trails for regulatory agencies, including FINRA, SEC, FTC, U.S. Dept. Health/Human Services, CFTC, Federal Energy Regulatory Commission, Govt. Printing Office, FFIEC, CFPB, FDA, NASD, HIPAA, Sarbanes Oxley, FERC, IIROC (Canada), FCA (UK), PRA (UK), ICO (UK), EU, HKMA, SFC (Hong Kong), and others.

Complete Compliance Recordkeeping

CAS complies with FINRA Rule 4511 and Securities Exchange Act of 1934 Rules 17a-3 and 17a-4 mandating the preservation and retention of all business-related electronic correspondence. CAS’s compliance capabilities includes write verification, non-rewriteable/non-erasable recordkeeping, serialized tracking, and mirrored duplicate copy storage.

Advanced CAS Supervision Module

CAS complies with FINRA Rule 3110 and FINRA Rule 3120, featuring capabilities for reviewing correspondence, audit trails, records of supervisory reviews, and monitoring of supervisory activities to ensure compliance.

Case Management and Automated Workflows

With CAS, built-in case management and automated workflows enable you to simply and proactively manage all compliance and supervision activities. CAS is customizable, enabling quick supervision of a small number of individuals or comprehensive enterprise-wide compliance responsibilities.

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