Technology Providers (Compliance)

MMxCHANGE is a new digital marketplace that lets you design, build and control your own custom investment platform – at a fraction of the cost of other platforms. Its unbundled o pen architecture allows you to select the solutions you need, when you need them, so you can always meet your clients ’ specific goals in a quickly changing market. This unprecedented flexibility enables you to scale your business at a lower cost.


MMxCHANGE – Digital Fiduciary Future

Compliance and prudent investing are coming together to evolve fiduciary standards in our industry. The ” Digital Investment Age ” is upon us, changing the way we create, manage, and deliver investment solutions to solve problems.

Compliance standards are the primary elements that the exch ange revolves around. It affords compliance to go from reactive to proactive measures due to the level of controls offered by multi- tenant functionality. The foundation of the exchange was built upon layers of security and facets that branch off into views specific to certain user roles embedded within the infrastructure. Therefore, the creation of “ private exchanges/views ” are configured across multiple roles for specific user groups by function. With MMxCHANGE private view features you can:

1. Administer a level fee investment program

2. Create pre-approved manager select lists with indepen dent third-party oversight

3. Centrally control investments that Advisors can access

4. Implement a turnkey OCIO program

5. Monitor investment platform across user/Advisor types with a udit reporting

6. Restrict rep-directed programs that conflict with the fiduciary future

Digital Compliance Administration and Surveillance tools combine d with the full control of a fiduciary, “ DOL Compliant ” private exchange, will provide your compliance team a preemptive strategy for control.

MMxCHANGE operates as a logistics center connecting you with the tools needed to establish a digital Fiduciary future.

Category Finalists

Key Business Leader

Joseph Miskel
Executive Vice President

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