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Compliance Management System Generation 2 is the industry’s most comprehensive unified solution to streamline compliance processes, significantly reduce expenses, and increase revenue with improved speed to market.


Securities: Built for Compliance

The efficient way to manage compliance risk. Rep alerts give you daily updates to determine any required action, allowing you to report disclosures in a timely manner. Complete compliance risk management designed for securities firms..


Vertafore has been a valued partner in the business of advisor lifecycle management for more than 40 years. During these years, we have learned more about the needs of broker-dealers, individual advisors, carrier partners and other stakeholders, refined our tools and gained valuable expertise in regulatory compliance.

Key Advantages

  • Effective and proven and secure web-based technology
  • Integrated insurance and securities credential management with regulatory rules engine
  • Electronic processing and workflow automation
  • Personalized service via dedicated support resources
  • Access to industry experts

“Since we started using Vertafore to handle regulatory compliance, we have shortened transaction time by 75 percent, which enabled us to improve productivity and boost revenue without adding staff. Our top-selling reps really appreciate that we spare them the hassle of all the administrative tasks involved.”

Vice President midsize midwest securities broker  

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