BDSential

BDSential is a Compliance Audit Management platform for broker-dealers, built by former regulators to help automate and streamline compliance with FINRA and SEC requirements for AML, supervisory, cybersecurity, and other audits. With BDSential, broker-dealers achieve SEC and FINRA audit compliance through automation. Our cloud-based platform streamlines workflows, manages audit content, and enables Compliance Officers to identify violation patterns and track corrective actions in real-time. Audit Management: Our software automates the entire audit process beginning with the initial stage of Creation, Scheduling and Assignment, through the Performance, Review and Approval stages, concluding with a system generated Audit/Violations Report. Compliance Management: BDSential’s Compliance Management provides transparency for Executive Management, Boards of Directors, and Audit Committee Members – enabling them to easily track corrective action progress and implementation, close the loop on repeat violations and avoid fines, sanctions and reputational risk. Data Analytics: Our Compliance Data Analytics enables key stakeholders to analyze and identify violations patterns and trends to reduce the risk of Non-Compliance and to identify risk factors which must be incorporated in the Audit Planning process.