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ComplianceIQ™ provides an active portfolio monitoring
system to manage risk and Investment Policy Statement compliance
with minimal resource demands.
ComplianceIQ™ offers twenty different policy options
designed to mirror an Investment Policy Statement. The policies
can be assigned to one or multiple accounts. You’ll
be able to create bulk monitoring on areas such as cash or
establish highly customized monitoring for institutional clients.
ComplianceIQ™ is always working for you. Policies
can be updated on-the-fly and the system will return immediate
results including any applicable exceptions. The system looks
for exceptions following any updates to policies, market or
account data. When exceptions are found, alerts are sent to
the user via email and the ComplianceIQ™ dashboard.
ComplianceIQ™ enables the advisor and firm to create
and demonstrate in the marketplace a superior approach to
prudent investment practices.
ComplianceIQ™ automates the supervision of regulatory
requirements by tracking and reporting on critical tasks during
account reviews. As you resolve the policy exceptions, ComplianceIQ™
logs the activity, keeping record of:
- when the issue was resolved,
- tasks sent to other users, and
- your notes on the issue.
Compliance activity is logged by user, reminder, exception
and account. This provides you and your firm with a specific
electronic record you can access anytime so you have what
you need when auditors come calling.
- Account vs. Benchmark performance
- Target allocations
- Concentrated positions
- Fixed Income Quality Ratings
- Restricted/ Approved securities lists
- Cash requirements
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