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.
If you have any general questions about our services and would like to learn more about how we can assist your business, please reach out to us via the form below and we'll get back to you shortly. If you prefer to get in touch by 'phone, please refer to the About section of our website for details of our nearest office and which products they serve.
Would you like to request a sample of how Financial Intelligence can help your business? Please fill in the form below and we'll get back to you.