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For Securities Firms

Automated Insurance Licensing and Compliance

for Securities Firms

Sircon Solutions drastically reduces the risk of non-compliance, speeds time-to-market and improves service to securities representatives and advisors. Vertafore offers the industry's only unified solution for managing insurance and securities compliance. Our flexible end-to-end solutions use automation and electronic processing to help securities firms streamline and simplify compliance processes and reduce human error.

You'll spend fewer work hours on compliance activities because our technology simplifies and automates tasks such as licensing, renewals, securities registration, education credentialing and terminations'enabling you to submit transactions electronically to any or all 50 states and FINRA via a single-source interface. As your securities representatives are completing the U4, we can get them licensed and appointed, and manage all of this information for you on an ongoing basis. Our tools provide improved data access and accuracy, helping you easily determine who is authorized to sell what product in what state.

Compliance Management System G2

Securities, discover electronic processing

The efficient way to manage compliance risk. Rep alerts give you daily updates to determine any required action, allowing you to report disclosures in a timely manner. Complete compliance risk management designed for securities firms.

  • Faster processing Direct interfaces with FINRA and State Departments of Insurance
  • Automated data collection workflows with carrier interfaces improves efficiency

Contact us to see a demo and get started today!

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Licensing & Registration Services

Let us handle it for you. We love this stuff.

The completely outsourced producer lifecycle and risk management solution. Partner with our team of experts to stay compliant and focus on what you do best.

  • Customized to fit your needs leverage our team for special projects or ongoing credential maintenance
  • Compliance visibility reports and updates to help you keep track of your organization
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Compliance Express©

Compliance: Ready, Set, Done.

A transaction highway and the heart of the Sircon insurance carrier platform. Licensing, appointments, and terminations start and end here.

  • Never doubt data Direct access to the NIPR's National Producer Database
  • Accelerated transaction processing Direct connections to state regulators
  • Protected data The highest standards for data transactions and storage

Contact us to see a demo and get started today!

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