Commission

Processing

  • Easily Process Transaction
  • Manage Comp Schedules
  • Manage Product Payouts
  • Manage Insurance Appointments
  • Manage Securities Licensing

Compliance

Rules Engine

  • Automated Trade Surveillance
  • Objective / Suitability Checks
  • Auto Hold / Release
  • Highly Configurable Rules Engine

U4 Processing

FOrm U4 automation

Intelligent On-Boarding

  • Easy to use
  • Efficient
  • Automated Web CRD
  • Process U4 Amendments
  • Annual Compliance Questionaire

Advisor Apps

Investment Advisor

Field Technology 

  • Digital Form Processing
  • Configurable Workflows
  • Production Reporting
  • Business Analytics
  • License and Appointment Renewals

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