AxiomSL Launches Regulatory Education Program

The new compliance support programming is free for advisers and seeks to “shed light on opacity surrounding financial regulations."

AxiomSL provider of regulatory reporting and risk management solutions, announced the launch of a program designed to assist asset managers and broker/dealers “clarify issues related to the shifting regulatory environment.”

Components of the content-driven program include a series of “In the Know” briefs, an “Explainer Series,” a COO Supper Club, and a blog program.

“All of the materials are written in understandable, jargon-free English, and include brief analyses of the regulatory environment, how specific rules or rule changes may impact asset management firms and broker/dealers, steps these organizations should take in order to be compliant, and the dates by which compliance is required,” the firm explains.

“In speaking with our clients, we found that asset management and broker/dealer firms are having a particularly challenging time navigating the opacity surrounding potential changes to the regulatory landscape,” notes Alex Tsigutkin, CEO at AxiomSL.

He explains the “In the Know” briefs are designed to bring firms up to speed with the latest thinking on the regulatory arena, with a specific focus on regulations like the Dodd-Frank Act, the Financial CHOICE Act (which has yet to pass the Senate) and the SEC Modernization rules. New topics will be added and disseminated every two weeks via email and AxiomSL’s blog.

The “Explainer” series clarifies regulatory terms and jargon in plain English, highlighting what asset managers and broker-dealers need to know in order to remain compliant. Key dates by which firms need to be compliant will also be included.

The COO Supper Club is billed as “an opportunity for senior executives at asset management firms and broker/dealers, who have oversight for regulatory compliance, to listen to a guest speaker who will provide additional clarification on the opacity surrounding financial regulation as well as an opportunity to exchange on best practices among themselves.”

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