FINWEBTECH, LLC
PLANTATION, FLORIDA

Compliance officers today are under increased pressure from regulators. It is impossible for compliance officers to achieve perfection in their compliance program without sufficient resources. Regulators are expecting more from firms, compliance departments and compliance officers with new rules and regulations and the increase in available data. Compliance officers are also fearful of personal liability and are looking for solutions to help minimize their risk with technology based tools. Most compliance departments are receiving paper based reports to be analyzed manually which are inefficient, costly and prone to error. FinWebTech was started based on the needs of one such Chief Compliance Officer who was in search of a cost effective automated compliance solution to make compliance programs more efficient, robust and minimize overall risk. The Catalyst automated compliance system was developed to provide all firms with access to technology through a low cost but highly effective solution. FinWebTech’s mission is to provide high quality compliance automation tools to firms of all sizes. To do this FinWebTech has priced the application so that small, medium and large firms have access to this much needed technology with low set up and monthly fees. FinWebTech’s Catalyst Automated Compliance Solution Don has over 15 years of experience in the financial services industry. His experience started with the design of a self directed online broker dealer application WallStreet*E which won several accolades from Smart Money and Barons in their respective annual ‘Best of the Web’ rankings. Don’s experience expanded into the design of a Broker Work Station application for Independent Brokers and an Intranet to automate the firm’s back office processes. Don’s experience also encompassed managing the equity and options trading desk and broker dealer operations. Don’s experience expanded into C-level roles as the Chief Operations Officer and Chief Compliance Officer/ AMLCO. Don’s diverse experience between technology and broker dealer operations and compliance has given him the unique talent to marry the two creating a technology solution with real life tools and experience. With over 30 years of experience developing software, Mark Edwards is skilled in all aspects of software development. Since 1994 he has been focusing on Internet-related work, specializing in back-end systems for ecommerce web sites. Mark’s Internet experience goes back as far as 1982, when he began working with early Internet systems at New York University. Mark has worked with a variety of companies and organizations, including major Investment Banks, Insurance Companies, Media Research firms and New Media agencies. His knowledge includes a thorough understanding of the SQL Server query language, HTML, Javascript, Java, PERL, and C/C++, along with many other languages. His systems experience runs the gamut from small Windows networks to large UNIX servers and IBM Mainframes. With the increased costs of compliance, increased regulatory risk and the declining bottom line, Financial services firms are constantly seeking ways to improve their operations and compliance through process automation, however many firms don’t have the resources achieve this daunting idea. FinWebTech’s applications are designed for optimum efficiency meeting the needs of many financial institutions. Products and Services: FinWebTech provides automated technology solutions for the financial community including Broker Dealers, Registered Investment Advisors, Banks and other financial institutions to enhance processes by increasing efficiency, reducing risk, and creating effective management tools. FinWebTech was created based on a visible need in the industry for an automated solution encompassing the entire scope of necessities for the financial community. FinWebTech’s applications are developed based on experienced industry professionals design including C-level Operations and Compliance Officers and ex-regulators from FINRA and the SEC.