Indianapolis — Kaplan Compliance Solutions, a provider of services and technology solutions for the insurance and securities industries, announced a complaints tracking mechanism that helps securities broker/dealers follow required procedures once they become aware of a complaint.
The Complaints Module is part of Compliance Management System Generation 2 (CMS G2), Kaplan Compliance Solutions' end-to-end compliance automation solution. The new module is designed to allow timely and accurate reporting of complaints to FINRA to remain compliant with FINRA rule 3070(c) and NYSE rule 351(d).
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