Advisor Assurance is Coming Soon

The investment advice industry faces more regulation each and every year. To comply in this increasingly regulated environment, advisory businesses–regardless of size–will need to monitor key advisor-client interactions throughout the entire financial planning process. That’s why we’ve developed Advisor Assurance.

With Advisor Assurance, firms have access to a multitude of automatically archived event logs for important events, such as email conversations, financial planning presentations, client and advisor website activity, manual account changes, and more.

This mean firms will have automated compliance oversight, years of firm-wide data available at a moment’s notice, detailed archives of manual account changes by advisors and clients, and more.

Advisor Assurance gives advisors an automated compliance tool, streamlining collaboration between compliance users and advisors, and allowing them to better focus on business development activities.

Advisor Assurance will include features such as:

• Firm-level view of comprehensive platform event logs
• Ability to filter events
• Access to vault documents and client presentations
• Online access to 7 years of event logged data
• Ability to isolate/identify manual account changes
• Ability to export data or setup data extract

A preview of the Advisor Assurance Event Logs page.