Collaborate with firm clients, staff, and customers for compliance deliverables and calendar events
Delegate ongoing reporting, documentation, and PCAOB, AICPA, SEC Blue sky, or ADV-E custody filing requirements
Manage back office duties, filing, and other reporting obligations
Tailor with your brand identity and unique requirements.
Easily manage admin and user permissions.
Integrate the app with your existing tools via API/SSO.
Customizable workflows for training, disclosures, and audit reporting for all stakeholders.
Access over 100 ready-to-use templates or upload/edit your own forms for unmatched flexibility.
Seamlessly navigate the app through an intuitive interface accessible to multiple team members.
Share files with other users or request information securely.
Including IT/cyber consulting with our partners.
Excerpt from Financial Planning Magazine “Besides a newly mandatory documented annual review obligation for all RIAs regardless of whether they advise any private funds, the five other provisions could force some firms to hire auditors, examine possible conflicts of interest and create new quarterly reports, according to interviews about the reform package A “sizable percentage” of RIAs, especially those working with high net worth clients, currently use private funds in some capacity, according to Roberson.
“It's pretty substantial — if they're not a private fund advisor directly, they may be recommending or investing in third-party products,” Roberson said. “What are the vehicles and are there any potential conflicts of interest that you haven't factored into your initial disclosures? Those things will come up, even if you happen to have a small equity position in this and this is something you haven't previously disclosed and it was part of your private fund activities.”
Starting with 1 admin | 9 users
Admin/User access rights
Unlimited Calendar delegate portals
Managed IT/cyber included (with cyber partners)
Private Fund/Audited Financial referrals
Free live courses ($600 value) w/ purchase of a Compliance/Training System annual subscription
Discounted bundles w/purchase of Compliance/Training System subscription
*Other compliance/training software configurations available*