Designed for broker-dealers, the KoreConX Compliance Management Platform is an integral part of the All-In-One solution to facilitate efficient compliance with regulatory requirements.
Built to ensure that only fully-regulated broker-dealers and compliance officers perform KYC/AML verification of investors.
Built to ensure that information is accessed and used only by regulated parties, to meet the requirements of privacy and security, and to ensure that only fully-regulated broker-dealers and compliance officers perform KYC/AML verification of investors.
Information within the compliance platform is cross-linked to other functionality in the All-In-One Platform to eliminate duplication of entry and reconciliation efforts.
Know Your Client
With the KoreConX Compliance Management Platform, the chief compliance officer can manage the entire compliance process efficiently using automated streamlined processes.
With the KoreConX All-In-One Platform, chief compliance officers can manage the review, approval, and closing process for investors and companies without having to manage multiple systems.
Global Compliance Management
With the KoreConX platform ensuring adherence to regulatory requirements in multiple jurisdictions, broker-dealers can reach investors outside their borders to access new investment sources for companies. Plus, they can easily manage compliance requirements in jurisdictions across the world.
Facilitate the syndication of investment deals
Broker-dealers can syndicate their investment deals across multiple partners and in innovative structures. This provides greater flexibility and choice for broker-dealers who specialize in various aspects of the investment.