Overview
Proactive Compliance introduces a new paradigm for reducing costs and increasing ROI by proactively monitoring, conducting and routing account investment reviews and administrative reviews. Register today to learn how your firm can realize:

• Significant decreases in the manual FTE hours typically spent on the Investment and Administrative Reviews



• Substantial increases in the accuracy and consistency of reviews through objective compliance rules



• Enhanced abilities to customize compliance parameters to specific accounts and account types



• Simplification of external and internal audit processes



• A higher level of customer service

The Challenge
Banks and advisors are under tremendous pressure to cost-effectively comply with rigorous standards for managing investment portfolios. To pass a Reg. 9 or similar audit, firms must demonstrate strict adherence to a clear and consistent investment policy process for each client. Traditionally, this process has been an inefficient manual effort, increasing the risk of failed audits, fines, lawsuits and a lack of customer confidence.

The Solution
The InvestEdge Compliance Solution is a turnkey system for increasing the accuracy and efficiency of virtually all aspects of account reviews and administrative reviews. InvestEdge provides a consistent process to monitor the status of investment reviews and ensure the reviews are conducted in a timely manner. Likewise, InvestEdge equips account administrators with tools that simplify administrative reviews. Integrated workflow features help administrators to more efficiently set up accounts for admin reviews, identify accounts due for review, and guide accounts through approval procedures.