A recent McKinsey survey of more than 200 organizations across various industries found that three-fourths believed that the fallout from the pandemic crisis will create significant new opportunities for growth in their industry, and the report shows that historically “companies that invest in innovation through a crisis outperform peers during the recovery.”

Most agree that technology and innovation are the keys to “unlocking post-crisis growth”, yet few feel equipped to pursue these new growth opportunities.

Of course, seeing the opportunities emerging from this crisis is not the same as being able to seize them. Fewer than 30 percent feel confident that they are prepared to address the changes they see coming.

Today’s regulatory environment is one that supports innovation within the financial industry. Regulators encourage financial organizations to rely on technology to effectively and efficiently execute a compliance program. FINRA’s newly formed Office of Financial Innovation is an example of this.

As a result, many organizations are taking this as an opportunity to implement new technologies to help streamline their compliance process.

Technology is going to help these financial firms navigate and optimize their compliance programs moving forward... BUT many firms do not know where to turn.

​Our comprehensive understanding of the challenges compliance and supervision department’s face, as well as our proven ability to help firms meet their regulatory obligations is why SiteQuest Compliance has become a trusted partner and solution provider.
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WHAT IS SQWATCHER?
 
SQWatcher monitors and archives advisor websites that may be hosted by non-approved website providers. It creates historical records of these sites, creates workflow events of specific types of changes like new pages, changes to readable text, images, and more with customizable rules to meet your needs.
 
WHY DO YOU NEED IT?
 
SQWatcher supports your firm’s adherence to regulatory requirements like FINRA Rules 2210, 3110, 3120, 4511 and 4550 by actively supervising these websites for unapproved changes and providing historical archives of the site.
 
YOUR RETURN ON INVESTMENT
 
SQWatcher’s powerful workflow review processes along with dynamic crawler technology allows your firm to monitor and document dozens to hundreds of websites with relatively few employee hours involved. It reduces compliance and “failure to supervise” risks while demonstrating to regulators, your firm is actively supervising these unique websites in compliance with FINRA and SEC rules.

Schedule your personalized demo today!