Compliance software for stockbrokers and LISPs
Brokerages and platforms hold client money and client data at scale. FSP Complai keeps your client funds, outsourcing and continuity registers current, runs enhanced due diligence and screening, and handles POPIA and PAIA requests.
Compliance tools for Stockbrokers and LISPs
- Client funds and outsourcing registers
- Enhanced due diligence and screening workflow
- Business continuity and incident registers
- POPIA and PAIA for high client volumes
Key modules
Registers, FICA and RMCP builder, Sanctions screening, Risk and incidents, POPIA and PAIA, Board pack, Document repository