Help your compliance department stay on top of promises made to clients by financial advisors.
ComplianceIQ allows allocation monitoring, as well as monitoring holdings, performance and other statistics against agreed limits.
How it works
ComplianceIQ monitors up to 17 different rules, including:
It carries out violation tracking, and logs when policy exceptions are resolved, keeping a record of when the issue was closed, tasks sent to other users and notes on the issue.
How ComplianceIQ can help
ComplianceIQ keeps track of violations of rules over time.
Data transfer with Scorecard and Performer.
When new data is posted with summary of issues found.
So recurring exceptions are highlighted.