Manage all data and interactions with your advisors and prospects on a secure platform built entirely on Salesforce.com.
Business Review and Surveillance
- Automated New Business Review / Processing
- Automated Advisor submissions for approval
- Compliance Questionnaires and Attestations
- Advisor Gift and Entertainment Management
- Manage & Report on Customer Complaints
- Check & Certificate Blotters
- Trade Blotter Monitoring
Tailored to You
- Customized business rules and workflows tailored to your firm’s specific supervisory controls
- Robust, customizable reporting to monitor, manage and measure compliance activities from initiation to completion
Consolidated and Organized
- All activities are time and date stamped and recorded in the system
- One consolidated platform for advisors to access compliance and administrative activities/requests
- One consolidated firm-wide platform and database eliminating lost or disparate documents and e-mails, spreadsheets.
- Consolidated data and processes within one platform
- Secure and comprehensive books and records support including complete time/date stamps,
- Identifying information and retention of all data, including related documents and materials
Quick and Efficient
- Electronic submission for faster approval times for branch audits, business submission, tracking, approval and filing.
- Automated compliance processes to reduce duplicate documents and task-intensive compliance efforts