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Enhanced Regulatory Compliance Platform with Web EFT Integration

dreamix.eu

Financial services

Challenges with Regulatory Compliance

Global Capital Market firms face significant challenges in managing the increasing complexity of regulatory requirements, particularly regarding the tracking of authorizations, registrations, and licenses. Manual processes are time-consuming, prone to errors, and create operational risks. The lack of real-time synchronization with regulatory systems further exacerbates these issues.

About the Client

Global Capital Market firms requiring comprehensive regulatory compliance solutions for managing capital markets activities across multiple jurisdictions.

Project Objectives

Integrate with FINRA's Web EFT service to automate data exchange and streamline regulatory filings.
Enhance the platform's ability to store and manage individual data, company license data, and approval workflows.
Improve the accuracy and efficiency of compliance processes through automated workflows and real-time data synchronization.
Expand the platform's global reach and functionality to support capital markets firms worldwide.
Reduce operational risk and improve compliance posture for users.

Functional Requirements

Secure storage of individual and company license data.
Automated approval workflows for regulatory filings.
Real-time synchronization with FINRA's Web EFT service.
Notifications and alerts for license changes and upcoming examinations.
Tracking of qualification exams for individual licenses.
RESTful APIs for seamless integration with other systems.
XML data structuring for efficient data exchange.

Preferred Technologies

RESTful APIs

XML

OAuth 2.0

Required Integrations

FINRA Web EFT Service
Potential future integrations with other regulatory systems (e.g., NRD Canada's regulatory system)

Key Non-Functional Requirements

Scalability to support a large number of clients and users.
High availability and reliability to ensure uninterrupted service.
Robust security measures to protect sensitive data.
Performance optimization for fast data processing and retrieval.

Expected Business Impact

The successful implementation of this project will enable MCO to solidify its position as a leader in the compliance management market, expand into new global markets, and provide its clients with a more efficient, accurate, and risk-reduced compliance experience. This will lead to increased customer satisfaction, revenue growth, and a stronger competitive advantage.