Premium Update: Perform Verifiable Legal and Compliance Analyses Using Expert Systems

There are numerous legal and compliance analyses that must be done regularly. These tasks can be time-consuming and confusing, even if the person performing the tasks is knowledgeable. In addition, the work that is performed to reach a conclusion may not be well documented so that it can be easily checked or audited.

Cabinet expert systems will guide you through a set of questions and answers that that will not only assist you in arriving at a determination, but also generate the necessary recordkeeping documentation.

Want to see an example? Try our tool for exempt accounts, as defined in FINRA Rule 4210.

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Cabinet Premium is a subscription service that provides financial services practitioners access to regulatory and enforcement news, analysis and practical work tools. It includes an extensive legal database, trusted attorney analysis, and compliance and risk-reduction tools. We will be providing guidance on how to use many of the features of Cabinet Premium that are not available on other sites.

To find out more about Cabinet Premium, please contact William Sadd at (212) 993-2818 or at [email protected].

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