Protect your firm by detecting and preventing conflicts of interest in real-time.
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.
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.
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.
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.
Select from any or all of the following disclosure services.
Maintain written notice and consent of your rep’s outside brokerage accounts while creating an audit trail that can easily be accessed at any time.LEARN MORE
Leverage limit options to control the amount of gift/entertainment expenses your representatives can give or receive and deny any overages on-the-fly.LEARN MORE
Keep tabs on your representatives’ outside business activities and easily request they “recertify” to any active activities throughout the year.LEARN MORE
Keep tabs on your representatives’ private securities transactions and easily approve, deny or request more information on disclosures submitted.
Use our standardized form to collect information specific to advertising communication and get pre-approval through the proper checks and balances.
Monitor your representatives’ political contributions, political activities and campaign financing to prevent influence in any state, federal or local elections.
Gather a census of your representatives’ active social media profiles and accounts, affirming to regulators that you are monitoring any activity specific to your business.
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.
Easily manage incoming and outgoing written and electronic communications through an automated process, while tracking each document as it flows through the approval hierarchy.
Properly review, track and maintain records of all securities received and delivered by the firm.
Properly review, track and maintain records of all checks received and delivered by the firm.
Evaluate all written complaints directed towards your firm and/or its registered individuals.
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.
Complete the form below to learn more about Disclosure Tracking options.