Solutions
Compliance Management Software Built by People Who Run Compliance Programs.
Solutions is CRC Oyster’s governance, risk, and compliance platform, designed for broker-dealers and RIAs by practitioners who have managed the compliance programs the platform supports. The result is software that reflects how compliance actually works, not how an engineer imagined it should.
Built for CCOs, Compliance Teams, and Supervisory Programs.
The GRC software market has capable tools. What most lack, is the compliance practitioner perspective that determines whether a platform actually satisfies regulatory obligations or just looks like it does. Solutions was designed by professionals who have been CCOs, managed examinations, and built supervision programs from the inside.
It integrates the functions compliance teams actually need — trade surveillance, policy management, compliance calendar, workflow automation, employee tracking, attestation management, CAT and CAIS reporting, and fund analysis — in one coherent system. And because Solutions is backed by CRC Oyster’s full compliance consulting practice, clients have access to the expertise that makes the platform work, not just the software.
What defines Solutions:
- Practitioner-designed – Built by compliance professionals for compliance professionals
- Fully integrated – Every compliance function in one system
- Consulting-backed – The only GRC platform backed by one of the most experienced compliance consulting practices in financial services
- Scalable – Boutique advisory practices to established broker-dealers
Five Modules. One Integrated System.
Govern
GRC Framework & Policy Management
The governance and policy backbone of your compliance program. Integrates policies, requirements, procedural steps, documentation, and reporting, presenting users with information relevant to their specific role, making compliance frictionless. Risk identification, controls mapping, and exception tracking give compliance leadership a current, coherent view of the program’s risk profile.
Planner
Compliance Calendar & Workflow Management
Replaces spreadsheets and disconnected calendars with a purpose-built compliance operations tool. Schedules workflows, notifies users of tasks, guides employees through required processes, and automates routing. Attestations, OBAs, gifts and entertainment, and other recurring obligations all flow through Planner with documentation that satisfies examination requirements.
Monitor
Trade Surveillance & Compliance Monitoring
Compares client trading activity, investment holdings, and profile information against employee data and firm-defined parameters, alerting supervisors to activity that exceeds configured thresholds. Electronic sign-off and review documentation maintains the supervisory record that satisfies FINRA Rule 3110 and SEC examination requirements.
Fund Analyzer
Reg BI Share Class Analysis
A Morningstar-powered tool that identifies the lowest-cost mutual fund share class options, comparing fees, account types, and returns against selection criteria and documenting compliance with FINRA’s Regulation Best Interest requirements. Pre-trade tools help ensure appropriate selections before any trades are placed.
Trade Reporting
CAT/CAIS Reporting
Consolidates order and trade reporting across order management systems, facilitates bulk updates and repairs for rejected submissions, and provides ongoing accuracy monitoring. An active FINRA examination priority, Solutions provides the tools to manage it accurately and on time.
Software Plus Expertise. Not Software Instead of Expertise.
Solutions clients have something standalone software vendors can’t provide: CRC Oyster’s full compliance consulting practice behind the platform. Regulatory changes are assessed and configured. Examination findings are remediated. New business lines are built into the program. That integration of software and expertise is what makes Solutions more than a technology purchase.
Frequently Asked Questions
Broker-dealers and RIAs across the size spectrum – boutique advisory practices through established broker-dealers with complex supervisory programs.
Yes. Implementation includes data migration support and transition planning.
Yes. Many clients use Solutions independently of CRC Oyster’s consulting services. Others engage both; using Solutions as the operational infrastructure for a program CRC Oyster helps design and manage.
CRC Oyster monitors regulatory changes and manages platform updates accordingly, notifying clients of material changes and their compliance implications.