Financial Services Compliance Management

CAE Solutions Corporation’s Compliance Management System is a web-based service that combines cutting-edge technology with operational and compliance support:

  • Secure and seamless application with 24x7 electronic document delivery
  • Innovative and dynamic solution that assembles, extracts information, disclosures and data
  • Ensures clients comply with appropriate regulations laid down by Securities and Exchange Commission (SEC)
  • Compliance Monitoring System automatically looks for any regulatory changes in US financial markets
  • CAE delivers processed and authenticated information in a cost-effective, timely and accurate manner
    • Converts compliance knowledge into valuable products
    • Delivers compliance solutions tailored specifically for our clients

Compliance Management System advantages:

  • Direct extraction of vital and authenticated fund information directly from SEC EDGAR database
  • Easy handling of high-value data and documents for financial services
  • Publishing and distributing business critical information and documents on the click-of-mouse
  • Reducing the lead-time for information gathering
  • Follows current legal governance functions and practices as laid down by SEC, such as:

A federal piece of legislation enacted as a result of the market crash of 1929. This was the First Congressional law regulating the securities industry. It required registration and disclosure and included measures to discourage fraud and deception. The legislation had two main goals:

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