Financial Research Publishing Automation System (RPAS) Components Research Document Workflow, Review & Approval
Compliance System
The Compliance System is a module in RPAS that provides automation for ensuring that documents produced by RPAS comply with SEC regulations governing research publications before they are printed and distributed to the public.
Features
Automatically performs the SEC-mandated compliance functions of system safeguards, backup procedures, disaster recovery, resumption of operations and record-keeping
Incorporates compliance approval into the research production process which ensures all research has the appropriate compliance review
Enables compliance-approved research to be produced in a way which ensures best possible speed-to-market of time- sensitive information
