With the streamlined processes and cutting-edge technology we have put in place, you can focus your time and effort on running your business.

We invest heavily in technology that allows us to operate efficiently and deliver the highest level of service with the least amount of work for you.

Technology is constantly evolving, and we make efforts to identify innovative solutions to problems.  We have invested in award-winning technology solutions from FINRA-approved vendors and/or have the proper regulatory certifications for electronic storage.

Document management tools are important tools for you to ensure clients are quickly engaged, internal reviews are done efficiently, and electronic data storage is easy to manage and secure. This technology helps to manage documents and stores electronic data in a secure and user-friendly environment.

Supervision and oversight are important aspects of our responsibility and our management seeks to do that in the most efficient, effective, and non-invasive manner possible without compromising our responsibility and integrity. Some of these tools help us perform thorough background checks before bringing on new clients and perform background checks on buyers and investors at close to ensure we are complying with the Patriot Act and meeting Anti Money Laundering requirements. We also utilize several solutions that allow us to review and archive emails, review trading activity, perform OBA and website reviews, deliver and meet educational requirements remotely, and more.

Cybersecurity is an increasingly important issue with significant spikes in cyber criminals and state sponsored hackers using sophisticated computer and networks to maliciously disable computers, steal data, and steal money. Common types of cyber-attacks include viruses, worms, trojan horses, semantic attacks, spoofing, phishing, man-in-the-middle attacks, and many others.  Most of these attacks can be warded off by using some basic techniques like using a strong password, installing anti-malware/virus software, running software updates and patches, encrypting your hard drive, using virtual private network software when on a public network, and making sure you challenge suspicious emails.

Education is an important part of the financial securities industry, and it’s important to stay current on your continuing education. We utilize technology that allows you to stay current on your required firm and regulatory element from the comfort of your office. IIB conducts its annual compliance meeting live each year at the annual conference but if you can’t make it in person, you can watch a video of the annual compliance meeting remotely from the comfort of your office.