This Day On The Street
Continue to site
ADVERTISEMENT
This account is pending registration confirmation. Please click on the link within the confirmation email previously sent you to complete registration.
Need a new registration confirmation email? Click here

Charles Schwab Launches Compliance Solutions To Help Companies Better Meet Regulatory Requirements, Manage Risk And Protect Their Reputations

Charles Schwab has launched Compliance Solutions to help financial services firms and industry providers meet increasingly complex employee compliance and regulatory requirements.

Compliance Solutions represents the fulfillment of an initiative started in November 2011 when The Charles Schwab Corporation acquired Compliance11, Inc. and paired it with Schwab Designated Brokerage Services (DBS). Compliance11 provides regulatory compliance software and DBS provides trade monitoring services. Since the acquisition, the firm has focused on creating a unique suite of tools and resources for clients.

Compliance: An Opportunity and a Challenge

“Companies understand that they need to meet regulatory requirements, but at Schwab we believe compliance can and should mean more than a check-the-box approach,” said Trish Cox, senior vice president for Corporate Brokerage Services at Schwab. “Consumers value open and transparent business practices, and positive perception in this area may benefit a company’s bottom line. When managed effectively, a compliance program can be an opportunity to position a company favorably in the marketplace, build trust with clients, and enhance value and market share for a firm.”

Schwab is seeing growing concern among its own client base of employers regarding compliance issues. “Our clients are coming to us for help as they face an increasingly complex regulatory environment that often outpaces their ability to manage compliance processes,” said Scott Rister, vice president of Compliance Solutions at Schwab. “The business risk for our clients is real, and our solutions are designed to tackle it head on.”

Proactive Trade Blocking: An Industry First

Among the chief concerns faced by regulated firms is improper securities trading. The number and types of firms that are required to monitor employee securities trading is growing rapidly. Employees may be prohibited from trading a specific security for a variety of reasons, such as the firm possessing material non-public information.

1 of 4

Check Out Our Best Services for Investors

Action Alerts PLUS

Portfolio Manager Jim Cramer and Director of Research Jack Mohr reveal their investment tactics while giving advanced notice before every trade.

Product Features:
  • $2.5+ million portfolio
  • Large-cap and dividend focus
  • Intraday trade alerts from Cramer
Quant Ratings

Access the tool that DOMINATES the Russell 2000 and the S&P 500.

Product Features:
  • Buy, hold, or sell recommendations for over 4,300 stocks
  • Unlimited research reports on your favorite stocks
  • A custom stock screener
Stocks Under $10

David Peltier uncovers low dollar stocks with serious upside potential that are flying under Wall Street's radar.

Product Features:
  • Model portfolio
  • Stocks trading below $10
  • Intraday trade alerts
14-Days Free
Only $9.95
14-Days Free
Dividend Stock Advisor

David Peltier identifies the best of breed dividend stocks that will pay a reliable AND significant income stream.

Product Features:
  • Diversified model portfolio of dividend stocks
  • Updates with exact steps to take - BUY, HOLD, SELL
Trifecta Stocks

Every recommendation goes through 3 layers of intense scrutiny—quantitative, fundamental and technical analysis—to maximize profit potential and minimize risk.

Product Features:
  • Model Portfolio
  • Intra Day Trade alerts
  • Access to Quant Ratings
Options Profits

Our options trading pros provide over 100 monthly option trading ideas and strategies to help you become a well-seasoned trader.

Product Features:
  • Actionable options commentary and news
  • Real-time trading community
SYM TRADE IT LAST %CHG

Markets

Chart of I:DJI
DOW 16,654.77 +369.26 2.27%
S&P 500 1,987.66 +47.15 2.43%
NASDAQ 4,812.7080 +115.1720 2.45%

Free Reports

Top Rated Stocks Top Rated Funds Top Rated ETFs