Compliance Hub is the central service for financial services firms to manage and securely exchange compliance information with clients, service providers such as broker-dealers, and regulatory agencies. The benefits of the service include:

• Continual information collection and renewal processes to ensure the data is up to date;
  
• Immediate access to a web-based application and optional, strong integration directly with your transactional and CRM systems to deliver compliance information when and where you need it;
  
• A complete solution for the industry with built-in best practices that reduces your risk, costs and efforts associated with compliance information management.

Compliance Hub currently supports the requirements of:

•  Qualified Institutional Buyer — SEC Rule 144A

•  Equity IPO Eligibility — NASD Rule 2790

•  Regulation S — Certification of "Non-US" Persons

•  EOD — Corporate Executive Officers and Directors

Click here to go to the Compliance Hub website for more information on how the Compliance Hub certification service works and to download brochures and forms...