Compliance & Due Diligence

The answers you need, when you need them.

Compliance and Privacy

We offer the expertise to guide our clients through the ever-evolving array of privacy, security and data retention requirements of regulatory bodies and compliance legislation. We implement proven technology solutions and operational management plans that are designed to meet regulatory requirements.   We advise our clients on typical and best practices for meeting regulatory requirements and help to create and implement compliance plans that fit their businesses.  As part of the process we create “audit-friendly” documentation that helps to streamline  the audit process.

Compliance Archiving

Regulatory requirements for communications now affect nearly every financial firm. Compliance with all requirements, including retention, searchability, audit trail, and WORM (write once, read many) technology to prevent tampering, is impractical to achieve in-house for all but the largest firms. Proactive Technologies provides comprehensive messaging compliance solutions that securely archive email, instant message (IM), social media and Bloomberg Messaging communications.

Proactive provides a turnkey messaging compliance solution that is Sarbanes-Oxley, FINRA and SEC compliant. Our system includes advanced search features that allow compliance personnel to easily search across all messaging types (IM, email, Bloomberg) through a single unified interface and automatically flags watch words and phrases through a customizable lexicon. We maintain a full audit trail of all searches and retrievals to facilitate each compliance review.

Due Diligence and Audit

IT should be the least of your concerns when raising capital. Our knowledge and planning can make that happen. We have experience on both sides of the technology due diligence process: in assisting our clients to assess potential investment targets, and in helping our clients respond to due diligence questionnaires (DDQs). We know the common “red flag” issues, and we implement technology solutions that put investors at ease, accompanied by professional and thorough documentation.