Introducing SRO Sentinel

Introducing SRO Sentinel

At last, a tracking tool for SRO rulemaking that’s as lightweight as it is powerful.

Impose order on the chaos of Agency and SRO rulemaking with the latest outstanding compliance solution from Knowledge Mosaic.

If you worry about being buried by the latest flurry of regulatory changes, then SRO Sentinel is for you.

Stay on Top of the Game

SRO Sentinel^SM is perfectly suited to the needs of investment advisers and financial institutions. How do we know? Because as part of our product development process, we had extensive conversations with real people in the industry, including compliance professionals from some of the world’s leading investment and banking firms.

The end result is the most user-friendly and cost-effective system out there for those who need to stay on top of the constantly shifting regulatory landscape.

Compliance Made Simple

Manually updating internal company policies to reflect recent rule changes requires hours of laborious and tedious tracking, cross-checking, and data entry. The alternative—using a web- or software-based system—comes with a hefty price tag, not to mention cumbersome set-up and maintenance requirements.

By contrast, SRO Sentinel is sleek, affordable, and can be mastered in minutes. Designed to be a “plug and play” application, it requires virtually no set-up, so you can begin using it instantly. And it is considerably less expensive than comparable services.

A daily email alerting system, intuitive search page, and a component for customized record annotation are the core features of this innovative tool.

Reap the Benefits

With SRO Sentinel, you will enjoy:

Substantial time and cost savings
Improved compliance risk management
More accurate, organized record-keeping
Fast, reliable notification of relevant activity
Peace of mind

Comprehensive, Real-Time Rulemaking Updates

SRO Sentinel tracks nearly 150 proposed rule
changes each month at more than 25 SROs,
including FINRA®, NYSE®, Nasdaq®, CBOE®,
and the MSRB®. It also includes rulemaking proposals from major government regulatory
agencies such as the SEC.

SRO Sentinel Capabilities

Locate records using advanced text search capability and a multitude of search parameters
Receive prompt electronic alerts about the day's regulatory activity
Flag incoming records to designate which of your company’s internal policies are affected, or which people are assigned responsibility
Assign priority status based on effective dates and the regulatory importance of a rule change
Forward rulemaking alerts to those responsible for specific policies
Create and distribute customized reports according to the parameters and filters you select

Learn More

To learn more, email us at sales@knowledgemosaic.com, or call the Knowledge Mosaic sales team
toll-free at 1.866.650.3600.