Highlights

Daily Monitoring

Transition compliance monitoring from a 'reactive event' to a 'proactive process' throughout the year.

Daily Monitoring

  • Monitor accounts daily without disrupting the workflow of advisors.
  • Automate and record each step of the review process (including who reviewed, when, comments, and final approval)
  • Simplify Reg. 9 account reviews for auditors-performing a review is as easy as running a report.

Asset-level Monitoring

Compare every holding in every account against policies.

Asset-level Monitoring

  • Implement rules that can be applied to all accounts or single accounts.
  • Receive daily notification of compliance problems and take immediate action.
  • View exceptions by account, manager or all accounts.
  • Group accounts and monitor as a whole to ensure policies are correctly applied

Mitigate Risk

Minimize risk and reduce exposure.

Mitigate Risk

  • Create a history of all compliance issues and actions taken.
  • Prioritize exceptions based on severity and due date.
  • Manage accounts in accordance with policies and restrictions.
  • Consistently manage firm-wide policies