Software Solutions to Help Financial Regulators

State financial regulators are tasked with chartering and examining depository institutions, non-depository institutions and securities, as well as enforcing state statutes. The goal? Regulatory compliance and the promotion of a fair and sound financial marketplace. Regulatory bodies in 21 states have entrusted their financial regulatory compliance programs to Tyler Technologies. From initial application to registration, examination, and enforcement, the Tyler Financial Regulatory Compliance software solution brings all your regulatory oversight capabilities together in a single enterprise case management application.

  • Charter, register, and license financial entities and securities filings, including fee and renewal tracking

  • Conduct examinations and audits, including scheduling, recording results, calculating risk ratings, tracking problem entities, and billing

  • Manage the full lifecycle of enforcement activities, including complaints, investigations, actions, and dispositions

Compliance Software for Financial Regulators

The Tyler Regulatory Financial Compliance solution is configurable to regulate a wide variety of financial entities.

  • State-chartered banks, savings banks, savings and loans, national banks, credit unions, holding companies
  • Check cashers, money transmitters, mortgage loan brokers, mortgage loans originators, escrow agents and officers, small loan lenders, consumer loan companies, payday lenders, ATM operators, consumer credit service organizations
  • Financial instruments including stocks, bonds, and mutual funds

Centralized Financial Regulatory Oversight

Financial regulatory compliance software solution brings all your regulatory oversight capabilities together in a single enterprise case management application.

  • The solution handles all steps of the process, from initial application to registration, examination, and enforcement.
  • Having all the information in a centralized place lets you evaluate interrelated data and quickly act upon it.

Connecting the Financial Regulatory Oversight Lifecycle

Financial regulators find their everyday tasks streamlined and their specific needs met.

  • Day-to-day transactions are easier with built-in workflow, search, audit trail, transaction, reporting, and routing functions.
  • Custom interfaces, configurations, and reports enable each agency to perform specific tasks.
  • Standard interfaces to BlueExpress, NMLS, EFD, FDIC, CRD/IARD, and other major systems reduce redundant data entry while simplifying information-sharing and analysis.

Want more information?

Download the financial regulatory compliance datasheet to learn more.

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