Creating an Automated, Centralized System for Publishing Research Disclosures
A major broker dealer was investing a significant amount of time and resources to manually track the conflict disclosures required by FINRA and NYSE. Compliance users and analysts were overwhelmed with the amount of frequently changing data that they were legally obligated to manage. Compliance officers requested a means to automate, monitor, and when required, manually adjust research disclosures from a centralized location.
Kohesiv identified two significant hurdles: (1) how to automate various disclosure type feeds, (2) how to bring several disparate elements into unified system that was both simple and intuitive. For each disclosure type, Kohesiv worked with the business to develop a means to generate and transmit disclosure data. We created models on how to best to create a seamless, scalable, and straightforward automation control process.
A full range of automation controls are now available for administrators and compliance users to easily update, delete, and view disclosure data. Utilizing single-sign on technology, administrators can now toggle between disclosure data and equity research reports in seconds. The equity disclosures process now automatically populates key financial reporting data into the client’s equity research reports.
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