Features

Calendar

Keep track of all of your company's required filings, their due dates, and related details so you can avoid incurring any fines or other penalties for late filings or missing information.

Procedures

Document the supervisory system that has been established to ensure that compliance guidelines are being followed.

Checklists

To-Do Lists and planners to review requirements, deadlines, policies, processes, and procedures.

Forms

Filing Instructions for Form CRS(Customer Rlationship Summary), ADV Part 1A + 2A Brochure Amendment, Annual checklist, U-4, U-5, U-10, and State De-Minimis filings

Agreements

Solicitor's agreement, Consulting Agreement, Financial Planning Agreement, and more...

Disclosure Documentation

Advertising, Books/Records, Client Delivery, Delegations, and more...

Review Center

Customized Policies, Procedures, Training and Review Templates

Cloud Storage Directory

Print, file, or store records in your private Compliance Cloud directory (10GB).

Disclosure Center — Desktop & App

Client Center

Setup client folders or online vault

Project Center

Collaborate on projects with your team

Document Center

Store your documents for your assignments

Firm Directory

Set up a plan with an advisor looking for a partner to pass along his clients.

Vendor Directory

Third Party Offers from partners and vendors

E-Signatures

Send signed e-contracts to clients, vendors or other third parties