Commission

Processing

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

Compliance

Rules-Based Engine

  • Highly Configurable Compliance Rules Engine
  • Auto Objective / Suitability Checks
  • Auto Hold / Release
  • DOL Fiduciary Rule Solution

U4 Processing

FOrm U4 automation

Intelligent On-Boarding

  • Easy to use
  • Efficient
  • Electronic CRD
  • Process U4 Amendments
  • Simplify Annual ACQ

Advisor Apps

Investment Advisor

Field Technology 

  • Compliance Alerts
  • Configurable Workflows
  • Digital Form Processing
  • Production Detail
  • License and Appointment Renewals

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