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TECHNOLOGY PROVIDERS Compliance
SIGNIX
FINRA Compliance Lock
In August 2022, FINRA issued Regulatory Notice 22-18 in response to reports of forged or falsified e-signatures made by registered firm representatives. The Notice highlights the responsibilities of broker-dealers to safeguard digital asset securities and have adequate controls in place to protect against unauthorized access or other security breaches. SIGNiX wants to help firms address these requirements at a minimum cost. The newly developed FINRA Compliance Lock tool automates the analysis to identify and investigate red flags with a fraction of the resources. An in-depth review of a
document’s audit trail will capture comprehensive data and create a report that flags transactions that show inaccurate characteristics. This tool can help broker-dealers rest assured knowing the validity of their documents is regularly being flagged for inaccuracies.
SIGNiX was founded with a mission to bring enhanced security and validity to the world’s most important documents. Our business started with the intention to digitally execute the signature process of important wealth management documents in a compliant and secure manner. Founder and CEO, Jay Jumper, understood the necessity for protected documentation and provable signatures in the wealth management industry. But at the time, there was no way to digitally execute signatures that also met compliance regulations. The patented SIGNiX digital signature platform provides unparalleled security and seamless integration with software partners serving highly regulated industries like wealth management, financial services, and healthcare. SIGNiX allows security-conscious partners, VARs, and businesses to offer military-grade cryptography, enhanced data privacy, and permanent legal evidence of a true digital signature without the costs, delays, or risks that attend paper-based workflows. Compliant with various laws and regulations, SIGNiX provides industry-leading digital signature enforceability.
198 WealthManagement.com
*NOTE: Company descriptions are effective as of the date of nomination submission (February – May 2023). For updated facts and figures since that timeframe, please contact the nominated company.
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