Conflict of Interest Tracking

Protect your firm by detecting and preventing conflicts of interest in real-time.

Strengthen your Processes

We know the challenges associated with getting your representatives to disclose their annual activities; it’s the last thing on their minds. To simplify this process, we designed our conflicts of interest tracking system with one thing in mind – automation.  We automated the input process for your representatives so they can add, amend, modify or recertify activities on-the-fly. We also automated the review process for your supervisors and compliance administrators so they receive real-time updates, alerts and notifications anytime a representative under their supervision goes into the system to change the status of a disclosure. The result: closed-loop compliance in half the time.

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Flexible Hierarchy

The approval hierarchy acts as a roadmap to determine how and where certain disclosures will be routed once an activity has been submitted. The system offers configurable business rules that can be tailored based on the corporate hierarchy of your firm and can handle any approval structure. You can enforce departmental, branch or divisional workflows with multi-level approval groups, and there are no limits on the levels of approval.

Processing Queue

The processing queue helps organize, store and track each user’s disclosure details from a single interface. Once a disclosure is submitted to compliance, the assigned approver can login to the system to review, accept or reject the pending disclosure, as well as request more information. They can also choose to have certain disclosures skip levels and go directly to a final approver for items requiring immediate action.

Digital Recordkeeping

Our system archives the status of each item as it moves through the pipeline, ensuring your compliance team has a detailed roadmap to each activity. Every time a disclosure is completed, modified or commented on, the system will automatically date, time-stamp and record the modification in order to maintain accountability. Additionally, all documents, receipts, customer complaint records and other corresponding files can be hosted, stored, shared and archived in the system’s digital file cabinet.



Disclosure Types

Select from any or all of the following disclosure services.

 

Outside Brokerage Account

Maintain written notice and consent of your registered user’s outside brokerage accounts controlled at another firm while creating an audit trail that can easily be accessed at any time.

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Gifts and Entertainment

Leverage limit options to monitor and control the numerical amount of gifts/entertainment expenses your representatives can give or receive, denying any overages on-the-fly.

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OBAs and PSTs

Alert supervisors to discrepancies in your representatives’ outside business activities and pre-approve or reject private securities transactions submitted by your representatives.

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Political Contributions

Monitor your representatives’ political contributions, political activities and campaign financing to prevent the potential for influence in any state, federal or local elections.

Correspondence Tracking

Easily manage incoming and outgoing written and electronic communications through an automated process, while tracking each document as it flows through the approval hierarchy.

Activity Logs

Track daily, weekly or monthly activities in accordance with internal processes, procedures and transactions. You can also use the tool to enforce compliance with FINRA Rule 2090 and 2111.

Social Media Disclosure

Gather a census of your representatives’ profiles, affirming to regulators that you are monitoring social media compliance.

 

Securities/Checks Received

Properly review all checks received from customers, as well as all securities received and delivered by the firm.

Customer Complaints

Evaluate all written complaints directed towards your firm and/or its registered individuals.

Questionnaire Integration

Integrate your conflict of interest tracking program with our Annual Compliance Questionnaires to formalize the collection and management of integral U4 data. By standardizing this process, you can streamline many manual steps of document intake and processing to quickly file and submit U4 amendments online.

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