Comma Compliance
@TresCommaComp
Whether you're navigating SEC 17a-4, FINRA 4511, or other global reg requirements, we make compliance simple, seamless, and secure.
A compliance badge on the label does not guarantee secure code. (See TM SGNL breach) Vet archiving vendors like you vet custody & trading systems. Transparency wins every time. commacompliance.com/post/open-sour…
Compliance officers as Zodiac Signs... Cancer: Starts every compliance meeting with “How’s everyone feeling about the new policy?”
Compliance officers as Zodiac Signs... Aries: Implemented Comma Compliance at their firm before the demo even ended.
Concerned about SEC filings now that the government is reopened? Check out the SEC guidance on amendments, filing forms, and filings under review to determine your next steps. sec.gov/newsroom/whats…
Compliance officers as Zodiac Signs... Leo: Gives the annual Code of Conduct training like it’s a TED Talk. Standing ovation optional.
Compliance officers as Zodiac Signs... Pisces: Cried during the whistleblower policy review. In a good way.
Compliance officers as Zodiac Signs... Aquarius: Pitched a decentralized ethics program on a blockchain call. No one understood, but it sounded visionary.
Compliance officers as Zodiac Signs... Capricorn: Has a seven-year compliance communication strategy, a metrics dashboard, and no patience for “quick wins.” #regtech
Compliance officers as Zodiac Signs... Libra: Balances C-suite expectations, SEC deadlines, and 47 “quick questions” from Sales - all before lunch.
Compliance officers as Zodiac Signs... Virgo: Filed the FINRA report three days early after catching a single missing comma.
Compliance officers as Zodiac Signs... Taurus: Patiently telling the trading team chat (for the third time) that “FINRA doesn’t care about your vibe.”
Compliance officers as Zodiac Signs... Sagittarius: Speaking at three compliance conferences and calling it “vacation.” Hey, there's a lot of travel involved!
Small firms don’t need fewer rules. They need smarter systems. commacompliance.com/post/small-fir…
commacompliance.com
FINRA’s Small Firm Talk: What It Means for Compliance Tech | CC Insights
FINRA’s Small Firm Talk: What It Means for Compliance Tech | CC Insights
Compliance officers as Zodiac Signs... Scorpio: Knows exactly who used an unapproved off-channel communication. Just waiting to see if you own up to it. (although if you were using #commacompliance you could make sure none of it is off channel. ;) )
Compliance officers as Zodiac Signs... Gemini: Writes policy emails and Slack reminders. One starts with, "hey team!" - the other starts with “per our last audit…”
Per-message pricing is just a fine with extra steps. Flat-fee means compliance without the nickel-and-diming. We like transparency - every time.
Zero mistakes isn’t realistic. Zero cover-ups is. An ‘oops culture’ + compliance software means small slips turn into proof of accountability - not liabilities. Transparency > perfection. commacompliance.com/post/oops-cult…
Which Compliance Team are you? The Clean-Up Crew: You deal with the mess after it happens. The Prevention Squad: You fix it before it breaks. The Ostrich: “If I don’t see it, it’s not a violation.
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