The Compliance Management Tool

Here are some of the bells and whistles. CMT:

• Allows easy tracking for Regulatory Element open windows, enrollments and completions, and Firm Element courses and attendance in accordance with NYSE Rule 345.
• Provides separate program logon to identify each user and avoid unauthorized access.
• Keeps a historical record for each RR and employee, even after employment has been terminated.
• Allows for identification of the designated regulatory supervisor for each RR and employee as required by NYSE Rule 342.
• Allows listing and searching of RR's and employees by internal billing/department code, registered vs. non-registered, state registration, supervisor, branch office location, social security number, CRD and more.
• Maintains audit information for each RR/employee record consisting of times and dates last updated as well as compliance department personnel responsible for the update.
• Prints letters for outside brokerage accounts to comply with NYSE Rule 407.
• Prints year-end summaries containing information on outside brokerage accounts, outside business activities, political contributions, private placement transactions and gifts/gratuities for annual compliance attestation.
• Tracks political contributions for MSRB.
• Exports a text file for use by the Microsoft Visio Organization Chart Wizard to automatically create an organization chart showing all reporting lines.
• Integrates with Microsoft Outlook making it possible to send email to RR's and employees from search results (also can be integrated with other email programs).
• Generates reports showing all RR's delinquent in taking required examinations.

You don't need anything fancy. CMT:

• Runs on any PC equipped with a 32-bit Windows operating system (e.g. XP, 2000, ME, NT, 98).
• Uses either Microsoft SQL Server 2000 (a license to SQL Server 2000 is required) or MSDE 2000 (SQL Server 2000 Desktop Engine) an ODBC compliant database that can be accessed by other in-house applications.
• Uses Microsoft Word to create and print reports (you'll need a license for Word or Office).

We do that too. Although CMT is highly intuitive, we offer targeted training and support to help customers get as much out of the software as possible. After all, the point is to save you time.

"Anchovy Software Inc.'s Compliance Management Tool is an exceptional solution and has changed our daily routine. Prior to implementing the CMT, we kept records in paper files, Word documents and Excel spreadsheets. We spent untold hours in our department on duplicate administrative tasks to meet various regulatory requirements. Today we are automated and do not have to open multiple documents or pull paper files to find information and create reports." -George Howard, Director of Compliance, Calyon Securities (USA), Inc.

Anchovy Software Inc. Denver, CO USA