Oil and Gas Broker Dealers Compliance
EnergizeDB’s two editions
are available separately or packaged as a suite. Both of
them bring a robust historical
trail of sales and accounting
activity to the oil and gas broker dealer practice.
The detailed audit trail allows an independent broker dealer to cooperate transparently
during SEC, FINRA, or State regulatory audits. It also provides
the compliance manager peace of mind that many compliance guidelines
are enforced and built into the software.
Just ask our clients,
who participated in the design and development of both products. The Sales Manager and Compliance staff also have contributed to our whitepaper “5 Crucial Elements of Compliancy”.
Get Our Free Compliance Whitepaper!
Get the white paper "5 crucial elements of compliancy" authored by EnergizeDB product specialists with assistance from Letha Simmons, compliance consultant to the oil and gas broker dealer industry.
Complete the form to the right and we will send you the document
via email
(PDF Attachment).
EnergizeDB Compliancy Features
- Broker client view/touch audit trail
- Broker requested mail outs audit trail
- Transparent view of selling progress, oversell prevention
- PPM Book Number assignment feature
- Login and usage time audit trial
- Do Not Call List features
- Internal and internet Email archival
- Broker licensed States assignment
- Calls can't be scheduled to unlicensed States
- Built in accredited investor qualification
- Contact record address/phone info change approval process
- Broker Assignment History
- Permanent BPO/APO WI and NRI assignment