Manual regulatory compliance can be time-consuming and error-prone, especially for financial institutions, broker-dealers and registered investment advisers (RIAs) serving the employer-sponsored retirement savings space.
With this in mind, Trua has launched a cloud-based platform to deliver continuous, automated verification of broker registrations, licenses, exam credentials and disciplinary history. TruaBroker is being billed as a smarter approach to manage risk, reduce costs and stay focused on growing business.
