Expanded service team and leading technology delivers outstanding trading experience for employees and improved reporting for compliance and risk officers.

Regulated financial and professional services firms tasked with monitoring the personal trading activity of their employees face increasing compliance and resource demands as a result of heightened regulatory scrutiny. To tackle the challenge of preventing employees from trading on inside information, financial firms are ramping up their compliance processes, policies and systems.

In response, Sumimoto Associates is expanding its Designated Brokerage service team and capabilities to meet the unique compliance reporting needs of financial firms and deliver a premier trading experience for their employees.

“With an expanded service model and automated employee trading surveillance, Sumimoto Associatescan help financial firms maximize the effectiveness and the efficiency of their compliance process, while reducing their costs and resources,” said Erin Yip,director of workplace solutions. Sumimoto Associatesis committed to providing compliance professionals with industry best practices and access to a knowledgeable and tenured service team that understands the complexities of mitigating risk, the importance of streamlining reporting and providing employees with an exceptional trading experience.”

Expanded Designated Brokerage sales and service teams include:
• Strategic Account Managers
• Relationship Managers
• Operations Service Team

Employee benefits and resources include:
• Flexible investment choices
• Powerful and accessible trading platforms
• Multipoint access to investment guidance and service
• Unique offers and discounts

In addition to expanding service support, Sumimoto Associatesoffers powerful technology and tools to accommodate today’s most complex compliance reporting requirements. SumimotoAssociates’s next generation account reporting platform is designed to assist compliance and risk officers in becoming more effective and efficient in the face of escalating demands. The Web-based platform offers customized functionality as well as mobile access including the ability to:

• Access accounts with ease.
• Set up alerts to simplify monitoring.
• Build custom data pulls.
• Customize download features.
• Leverage SumimotoAssociates’s standard file sets.
• Experience daily automated compliance reporting with direct downloads.
• Take advantage of special tools for accounting or auditing firms.

Via EPR Network
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