Regulatory Best Interest

An F100 finance company partnered with ZENDA to transform its regulatory best interest platforms and significantly reduce compliance risk for advisors. The result was a streamlined, efficient process that enhanced compliance documentation and supported business growth opportunities for advisors in the field.


SEC compliance fine risk reduction


Effective advisor down time


Operations optimized yearly


Through a series of alignment sessions with product owners and developers, ZENDA assessed technological feasibility and configured a transformative mobile, 1-click solution for new account openings. The solution integrated four different documentation tools into a single platform with unified product ownership, ensuring seamless data transfer while maintaining SEC compliance. A robust notification system also enabled advisors to efficiently approve new account applications without being limited to a single location.


Through implementation of the 1-click solution, ZENDA optimized 100,000 yearly operations, reducing exposure to risk of up to $5MM in SEC compliance fines. Enhancing efficiency in advisors’ workflows eliminated downtime, allowing for capitalization on new business opportunities, protecting brand equity, and strengthening the bottom line.




Regulation & Risk

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