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Horrigan Resources, Ltd., Releases comport365, a Compliance Tool for the Investment Community
Wexford, PA (PRWEB) December 7, 2007 -- Horrigan Resources, Ltd. ("HRL") announced today the release of comport365, a proprietary web-based service delivering substantial organizational resources to investment advisory and broker-dealer compliance professionals. comport365 offers a dedicated and secure compliance portal for scheduling, tracking and reporting critical compliance activities. The calendar-centric tool captures events ranging from policy/procedure testing and office inspections to meetings and training programs -- virtually any activity performed or monitored by the CCO in the course of implementing the compliance program across the enterprise. comport365 benefits the CCO by providing a consolidated, secure, user-friendly venue for monitoring and communicating compliance activities.
The investment advisory annual review and broker-dealer certification processes are substantially simplified and enhanced through the customizable capabilities of comport365. HRL's proprietary regulatory guidance is embedded within comport365TM to assist the CCO in the performance of relevant and effective testing and review activities.
"We designed comport365 to assist multitasking CCOs, whether solely dedicated to the compliance function or managing dual operational and compliance responsibilities," noted Betsy Rathz, founder of HRL and architect of comport365. "This subscription service complements our client service offerings with the singular objective of helping investment advisers and broker-dealers efficiently manage their compliance capital by ensuring the timely and effective implementation of the compliance program."
comport365 offers valuable features such as event search, recurring event scheduling, custom reporting and automated e-mail notification to advise employees of pending compliance deadlines and responsibilities. In the area of policy/procedure testing, comport365 incorporates regulatory rationale, review findings and recommendations, as well as follow-up flagging capability to help CCOs track open compliance issues. For compliance meeting and training events, the tool captures agendas, attendees, minutes and action plans for easy access, notification and reporting.
Investment advisers may choose from more than 60+ pre-populated events requiring regulatory review, such as advertising and marketing, advisory fees, and trade allocation. Broker-dealers may choose from 80-plus FINRA-mandated activities which include mark-ups and commissions, suitability, and insider trading. In addition, users may add to comport365 any event or activity deemed relevant to the unique compliance protocol of the enterprise.
HRL - Who We Are
HRL helps investment advisers and broker-dealers lighten their regulatory compliance burden so they can focus on gathering assets and serving clients. HRL delivers compliance expertise and product solutions -- such as risk assessments and audits, policy/procedure development, training and continuing education, as well as on-call consulting resources -- scaled to fit the unique operating needs of each client. HRL's professional experience spans decades working inside major financial service enterprises in compliance, sales management, trading, portfolio management and training.
Visit www.horriganresources.com today to schedule a web demo of comport365 and learn more about HRL compliance solutions.
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