Skip to content

Ensure Compliance Across Your Firm with YCharts’ Customizable Solutions

Regulatory compliance is more critical and complex than ever in the rapidly evolving financial services industry. Financial advisors and wealth management professionals must navigate a labyrinth of regulations to protect their firms and clients. YCharts offers customizable tools to ensure firm-wide compliance, making it easier for financial professionals to meet regulatory demands while maintaining operational efficiency.

Understanding Compliance Challenges

Compliance in the financial sector involves a myriad of challenges. Firms must constantly update their practices to adhere to ever-changing standards, ensure the accuracy of reports, and maintain data integrity. Non-compliance can lead to severe consequences, including hefty fines, reputational damage, and significant operational disruptions. Staying ahead of these challenges requires robust solutions that can adapt to the dynamic regulatory landscape.

Wealth management professionals, in particular, face unique compliance challenges. For instance, staying in compliance with the SEC Marketing Rule requires firms to adhere to strict guidelines on advertising and communications. This includes ensuring that all marketing materials are accurate, not misleading, and include necessary disclosures. Failure to comply with these rules can result in severe penalties and damage the firm’s reputation.

Learn to create SEC-compliant reports using YCharts.

Similarly, FINRA regulations require meticulous attention to various aspects of a firm’s operations, from record-keeping to supervisory procedures. FINRA’s stringent regulations are designed to protect investors and maintain market integrity but also place a significant compliance burden on firms. Ensuring that all activities meet FINRA’s standards requires continuous monitoring and updating of compliance practices.

By addressing these challenges through comprehensive compliance solutions, firms can effectively mitigate risks and maintain their standing in the industry.

YCharts’ Compliance Features

YCharts provides a comprehensive set of features designed to address these compliance challenges. Their customizable compliance solutions help firms meet regulatory requirements efficiently and effectively. Key features include:

  • Customized Report Templates: Create reports that meet specific regulatory guidelines with the availability of FINRA-reviewed Overview & Comparison reports. Easily generate security or portfolio tearsheets and side-by-side comparison reports, ensuring all necessary compliance information is included and presented accurately.
  • Compliance-Approved Data Sets: Access accurate and compliant data for your analyses. Admin users within a practice can dictate specific research lists available for their research teams, ensuring that all data used meets internal and regulatory standards.
  • Automated Audit Trails: Compliance teams can track any reports and proposals created or generated by their advisors, simplifying the compliance process while providing a clear audit trail and ensuring adherence to regulatory requirements.

Customizable Reporting for Compliance

One of YCharts’ standout features is its customizable Report Builder. This tool allows firms to create tailored reports that include all necessary compliance disclaimers, firm logos, branding, and disclosures. These customizable reports can be adapted to meet specific regulatory guidelines or internal compliance protocols, ensuring that all necessary information is presented accurately and professionally.

Customize reports with your firm’s branding and required disclosures.

Ensuring Data Integrity and Security

YCharts prioritizes data integrity and security, which are crucial elements for compliance. The platform employs rigorous data verification processes and robust security protocols to protect sensitive information. These measures ensure that all data is accurate, up-to-date, and secure, supporting compliance efforts and safeguarding the firm’s reputation.

To further promote data security and compliance, YCharts also employs the following:

  • Third-Party Review: DALBAR has reviewed YCharts’ platform and outputs, providing an opinion letter that evaluates compliance with SEC Marketing Rules. This third-party validation underscores YCharts’ commitment to regulatory compliance and industry standards.
  • Security Certifications: YCharts adheres to SOC 2 Type I & II standards, which ensure robust data security and privacy measures. These certifications demonstrate YCharts’ dedication to maintaining the highest data protection and security levels for their clients.

By implementing these stringent security measures, YCharts helps financial firms maintain the integrity and security of their data, fulfill compliance with regulatory requirements, and protect their clients’ sensitive information.

Streamlining Compliance Processes

YCharts integrates seamlessly with existing systems and workflows, making it easy to implement—91% of surveyed clients confirmed its ease of integration into daily operations. By fitting into existing tech stacks, YCharts enhances efficiency across portfolio management, investment analysis, idea generation, and proposal creation.

Home offices and compliance teams can also push necessary feature restrictions, disclosures, and reports to ensure advisors are automatically compliant. This allows advisors to boost operational effectiveness by focusing more on clients and less on administrative tasks.

YCharts Training and Support

YCharts is committed to providing extensive training and support to ensure users can fully leverage its compliance features. This includes:

  • Live Webinars: Participate in YCharts University webinars, which showcase the most commonly leveraged workflows within YCharts and help you maximize the platform’s capabilities.
  • Comprehensive Guides: Access in-tool guides and tutorials to help you navigate the YCharts platform more efficiently, ensuring you can utilize all its features effectively.
  • Responsive Customer Support: Benefit from the always-available support chat button, which has received a 99% satisfaction rating based on over 18,000 chats in 2023.
  • Dedicated Support Representative: Work with a dedicated support representative who will walk you through the YCharts platform, tailoring the experience to your day-to-day operations and areas of interest.

By offering these resources, YCharts ensures compliance officers and other users are fully equipped to maintain compliance and utilize the platform to its fullest potential.

Achieve Compliance with Confidence Using YCharts

Ensuring compliance across a financial firm is complex, but YCharts’ customizable solutions make it more manageable. With features that support regulatory requirements, enhance data integrity and security, and streamline compliance processes, YCharts is a reliable and adaptable partner in navigating the regulatory landscape. By leveraging YCharts, financial firms can focus on what they do best while maintaining confidence in their compliance efforts.

Whenever you’re ready, there are 3 ways YCharts can help you:

1. Curious about how YCharts can streamline your client reports?

Send us an email at or call (866) 965-7552. You’ll be directly in touch with one of our Chicago-based team members.

2. Want to test out YCharts for free?

Start a no-risk 7-Day Free Trial.

3. Download a copy of YCharts’ 2024 Advisor-Client Communication Survey:


©2024 YCharts, Inc. All Rights Reserved. YCharts, Inc. (“YCharts”) is not registered with the U.S. Securities and Exchange Commission (or with the securities regulatory authority or body of any state or any other jurisdiction) as an investment adviser, broker-dealer or in any other capacity, and does not purport to provide investment advice or make investment recommendations. This report has been generated through application of the analytical tools and data provided through and is intended solely to assist you or your investment or other adviser(s) in conducting investment research. You should not construe this report as an offer to buy or sell, as a solicitation of an offer to buy or sell, or as a recommendation to buy, sell, hold or trade, any security or other financial instrument. For further information regarding your use of this report, please go to:

Next Article

A Closer Look at May Fund Flows: Equity ETFs Defy 'Sell in May'

Read More →

Subscribe to the YCharts Blog