UIS can support your efforts on compliance, data integrity and efficiency throughout the San Francisco Bay Area
As a Financial Organization, the security and privacy of your records are of paramount importance. But you also need an efficient method of complying with reporting regulations and smoothly running office. UIS Technology Partners can help in all of these areas.
Records and Compliance – UIS can help your company safely and securely maintain records with regard to regulatory filings with the SEC, foreign and other regulatory agencies
Client Privacy – UIS can bolster or institute procedures for protecting and monitoring client privacy
Digital and Paper records – UIS can help with the maintenance of books and records in both paper form and electronic media, including Accounting Records, Advisory Records (including trade tickets, written materials, written agreements, personal trading records, client information, email and other correspondence), Advertising Records, Custody Records, Proxy Voting Records, Compliance Program Rule Records and Code of Ethics Rule Records
Monitor Trading Procedures – including soft dollar and best execution practices. Maintain Trade Error Log with corresponding documentation. Automate directed brokerage arrangements and commission recapture programs for compliance with client agreements.
Some of the relevant software packages we support for Financial Organizations include:
- Intuit Quickbooks
- CCH products, including Prosystems fx Tax, Engagement, Fixed Assets, and XCM
- Sage Peachtree
- Tax Tools
- Ultratax Planner
- Microsoft Office
- Word Perfect
Do you have a different need? Contact us, we can help!