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The WhistleBlower Plus Solution

The WhistleBlower Plus application provides clients at the firm wide level an internal solution for reporting, monitoring, and tracking violations.

Now more than ever your company needs to strengthen its compliance and risk management systems to answer changes and restrictions implemented in the Dodd-Frank Act. The Whistleblower provisions of the Dodd-Frank Act provide significantly greater financial incentive for individual employees to seek out and provide the SEC with information that could otherwise be addressed internally.

What WhistleBlower Plus and Certification Pro Provides:

  • An Employee Reporting Tool
  • Comfortable Discretion in Employee Reporting
  • Use of Photograph and Video Evidence
  • Compliance Tracking and Surveillance Analytics
  • Accessible and Auditable database for current and prior submissions and compliance reviews
  • Auditable Evidence and Documentation

The Certification Pro Solution

Firms today need the ability to customize, communicate, and audit new legal and compliance certifications. You can create any kind of certification you desire through our functionality including those with drop downs, limited responses, or a free text field. The ability to communicate new types of policies, handbooks, or procedures is a common compliance need in today’s evolving regulatory landscape.


Dodd-Frank News

  • This RSS feed URL is deprecated, please update. New URLs can be found in the footers at https://news.google.com/news

  • City Journal

    Dodd-Frank's Unaccountable Agency
    City Journal
    When Mick Mulvaney, President Trump's acting director of the Consumer Financial Protection Bureau, appeared before Congress last week, he managed to illustrate the absurdity of the agency that he heads. In questioning him, several Democrats disputed ...

    and more »

  • Credit Union Times

    The Blue Wave: Could It Sink Dodd-Frank Overhaul? | Credit Union ...
    Credit Union Times
    If Dems take back one or both Houses of Congress advocates of a Dodd-Frank overhaul can kiss their legislation goodbye.

    and more »

  • Valley News

    Editorial: Dodd-Frank Rule Highlights Disparity in Big Paydays
    Valley News
    But as big as those compensation numbers seem — and from a Northern New England perspective they seem huge — the Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted in the wake of the financial meltdown of 2007, now requires that they ...

  • CNNMoney

    Bankers worry Dodd-Frank rollback bill could be in peril
    For thousands of community banks and regional lenders, including State Street, BB&T and SunTrust, the bill would loosen rules imposed by Congress after the 2008 financial crisis. Banks argue that those rules have hurt their ability to lend money and ...

    and more »

  • Dodd-Frank Act
    The Dodd-Frank Act followed a number of financial regulation bills passed by Congress to protect consumers, including the Sarbanes-Oxley Act in 2002 and the Gramm-Leach-Bliley Act in 1999. Dodd-Frank created the Consumer Financial Protection Bureau ...

  • Housing: Part 293 - How Has Dodd-Frank Hurt Low Tier Housing?
    Seeking Alpha
    I have asserted that Dodd-Frank has been especially damaging to low tier housing markets in the US. How is this damage inflicted? First, the data that triggers this conclusion clearly points to specific market segments as the sign of the problem. Much ...

  • Wall Street Journal

    Why the Dodd-Frank Rollback Has Some Small Banks Yawning
    Wall Street Journal
    Bank lobbyists are pushing Congress to relax regulations for the industry, especially for small lenders. Mary Ann Scully, who runs a community bank in Maryland, is unimpressed. “It does next to nothing for my bank,” Ms. Scully, chief executive of ...

  • American Banker

    Congress won't repeal Dodd-Frank. Why does Paul Ryan say it will?
    American Banker
    When President Trump took office, he vowed to “do a big number” on the Dodd-Frank Act. While a much more modest bill is potentially nearing the president's desk, the narrative that the crisis-era law is being dismantled is suddenly bubbling up once ...

  • Politico

    Ryan touts Dodd-Frank rollbacks
    "We ran on an agenda in 2016 and we've been executing that agenda," he said in an interview with Fox News. "We're two-thirds of the way through getting it done into law, even within the Senate as slow as they are. We're going to be repealing and ...

Risk Management

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