(Reference: Rules 206(4)-7, 204-2(a), Section 206)
Keep track of Compliance tasks on third party sites
Email Archiving
Fee Billing
And more
Import files into FIN Compliance Staff Disclosure Center to create audit log from third-party compliance tasks
Setup Client Meeting,
Update CRM,
Send E-Signature Contracts,
Record notes in CRM
and
Send to FIN Compliance Staff Disclosure Center
Setup Client Meeting,
Use digital notetaking solution, or email archiving
Record notes in CRM
and
Send audit log to FIN Compliance Disclosure Center or Client Folder
Prepare Investor/Committee Meeting,
Prepare CRM/Notes,
Open Portfolio/Brokerage
Feed Trading or Brokerage data to CRM,
and
Send log/task status to FIN Compliance Disclosure Center, Client Folder, or Calendar
Store | QR Code | Download Link |
---|---|---|
|
![]() |
Google Play Store Link |
Store | QR Code | Download Link |
---|---|---|
|
|
App Store Link |