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Broker-Dealers (BDs)

As the sheer volume and breadth of regulation continues to rise, BDs are facing increasingly complex compliance challenges.

Regulatory challenges loom large for BDs, especially surrounding cybersecurity, AML, and investor suitability.

We help Broker-Dealers win at regulatory compliance.

Ascent’s Regulation AI extracts your firm’s exact obligations from oceans of regulatory text and distills them down into daily tasks. This targeted intelligence streamlines your horizon scanning and change management processes, ensuring you never miss an important detail.

Then, ensure completeness using Ascent’s full set of compliance management tools. The result is a traceable, end-to-end compliance solution that helps you on the path towards 100% compliance.

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