COMPLIANCE

The regulatory side of advising. Screen the people you take on, keep their FICA records together, and generate the documents your practice is expected to produce, built from each broker's own credentials and signed by the client without a printer in sight.

The One Advisor compliance module showing a screening record

What it does

  • Sanctions screening against sanctioned individual lists
  • Bulk screening across your whole client base as a background run
  • Match review, with a downloadable verification report
  • FICA records held per client
  • Disclosure Letters, Service Level Agreements and Risk Matrices
  • Records of Advice for investment and personal life cover
  • Documents assembled from each broker's licence categories, advice scopes and authorised companies
  • Send a client a link by email to read and sign a document, straight from the record
  • Clients prove who they are with a one-time PIN sent by SMS before the document opens
  • The signed copy comes back automatically and is stored against the client

The other modules

Directory · Client · Commission

DEMO

If you are interested in One Advisor please let us know and we will contact you to set up a demo at your convenience