A Tailored Approach to Compliance

Now that a significant portion of the DOL Fiduciary Rule has taken effect, establishing an
enterprise-wide approach to compliance and risk is more important than ever. Advisory firms
must be able to show regulators and clients that their advisors are always working in the best
interest of investors.

With MMxCHANGE, advisors can create their own Private Exchange to design a custom
investment strategy by business segment, OSJ or advisory group. The result is a fully customized
platform that enhances compliance and offers firms and their wealth managers unprecedented
levels of control:

  • Tailored solutions – Choose and pay for only the products and managers that fit your
    firm’s approach to compliance and risk appetite.
  • Full integration – Integrate the digital marketplace into your current platform to
    seamlessly track, monitor, document and report compliance details on every transaction
    and client interaction.
  • Total transparency – Unbundled architecture and pricing saves money and makes it
    easy to show how costs are being controlled and how fees are calculated.
    With MMxCHANGE, compliance is no longer a reactive exercise. The platform empowers
    advisory firms to set a proactive risk mitigation strategy at the senior-most levels and execute
    that strategy with every manager, product, client and transaction.

MMxCHANGE is shaping the future of digital investing compliance.

To discuss your compliance challenges and opportunities in light of the new DOL Fiduciary Rule,
contact us today.

Additional resources:
FOSTERING A CULTURE OF COMPLIANCE FOR THE DOL FIDUCIARY RULE