KoreConX

Compliance

Manage your Broker Dealer’s compliance simply and efficiently.

KoreConX provides online compliance that assists broker dealers with due diligence and Know Your Product (KYP) on issuers, as well as all Know Your Client (KYC), suitability, ID verification, anti-money laundering (AML), investor verification and payments for investors.

When issuer and investor compliance management issues are taken care of, the focus can then be placed on running and growing your firm's business.

Staying organized and compliant at all times makes regulators happy.

With historical and current data stored in KoreConX in a consistent manner it makes access to information instantaneous.

Keeping all your deal and investor information organized makes your regulator compliance audits easier.

Run your broker dealer with confidence that your compliance is taken care of.

Your compliance officer has what they need to effectively manage all your compliance in one spot.

Tracking of issuer and investor information and documentation has never been this easy. Have all compliance and regulatory reporting at your fingertips:

  • Investor KYC, Suitability, ID Verification, AML and payments
  • Issuer KYP and due diligence
  • Reporting and historical tracking
  • Compliance audit management
  • And More

 

Ash Sando, Chief Compliance Officer (CCO), Bellotti Capital Partners.

People interested in Compliance also looked at:

Portfolio Management

Get the full and simplified view of all your investments, organized in one central location. View company information (including board and management team), scheduled meetings, voting opportunities (electronic/e-voting), send and receive messages. Categorized by holding type (shares, options, warrants, debentures, etc.), as well as designations such as public and private.

Learn more ->

Deal Room

Reach out to raise capital through our connected partners, without duplicating effort. With pre-populated term sheets stating the 3rd party’s document requirements up front, only complete forms will be submitted to financing sources. Maximize opportunities to raise capital through the participating fundraising platforms listed in the Deal Room. Find investors who are looking for opportunities such as yours.

Learn more ->

Investor Relations

Communicate with investors and potential investors directly using KoreConX Investor Relations feature. Track shareholder engagement with the ability to view downloads and confirm opened messages. Generate reports sent directly from the platform, complete regulatory filings, contract facilitation and more. Set up, organize and run shareholder meetings, create e-voting items and track responses.

Learn more ->