AxiomSL, a leading global provider of regulatory reporting and risk management solutions for the financial services industry, today announced their attendance at the SIFMA Compliance and Legal Society Annual Seminar in Orlando, FL on March 13-16.
Organized by the Securities Industry and Financial Markets Association (SIFMA), the seminar provides the opportunity for compliance and legal professionals to discuss and debate current regulatory and legal developments impacting the industry. The aim of the conference is to ensure that financial institutions have at their disposal the information necessary to operate and comply with an ever changing regulatory landscape.
The rising costs of complying with regulatory requirements has impacted the broker dealer community. Complex calculations, granular data collection and intensive reporting combined with prescribed external audit certification requirements (Rule 17a-5) have compelled firms to re-think their regulatory strategy. AxiomSL delivers industry leading solutions that minimize manual processes, reduce time to market costs, leverage existing systems, increase transparency and control while ensuring accurate and timely regulatory calculations and reporting.
AxiomSL delivers immediate value to your organization and addresses both short and long term regulatory needs. We cover all major regulatory bodies (SEC, FRB and CFTC etc.) on “One Integrated Platform”. Sample solutions include:
- FRB Reporting
- Capital computations (SEC Rule 15c3-1)
- Customer Reserve computations (SEC Rule 15c3-3)
- Short Interest Reporting
- Shareholding Disclosures
SIFMA is a non-profit trade association in the securities industry, comprised of hundreds of broker-dealers, banks and asset managers. The association advocates for effective and resilient capital markets.