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.
According to a Financial Planning Magazine article “How the Largest Wealth Management Firms Do Revenue Sharing,”…… Mutual fund managers, whose products the firms' financial advisors recommend, pay wealth management companies a portion of their profits or revenue that the firms often refer to as "marketing" or "partner" fees…… As shown by the companies' disclosures, the money can add up to hundreds of millions of dollars or more in added revenue each year for the largest wealth management firms.
Disclosing Conflicts of Interest to avoid fines.An excerpt from an SEC staff bulletin on Standards of Conduct for Broker-Dealers and Investment Advisers Conflicts of Interest; "When there is a conflict created by firms or their financial professionals receiving compensation from third parties, whether or not sales-related (including, but not limited to, revenue sharing, sub-accounting, administrative services fees paid by a fund or its advisor), in the staff's view, broker-dealers, investment advisors or their financial professionals should disclose the existence and effects of such incentives provided to the firm or shared between the firm and others."
Starting with 1 admin | 9 users
Admin/User access rights
Unlimited Calendar delegate portals
Managed IT/cyber included (with cyber partners)
Partner Network offers
Compliance, Practice Management, Software Development, Marketing, Legal, and CRM expert 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*