michael.pendergrass
Acronym
RIA Compliance Technology
Product ID
RIA_Compliance_Tracking_Automation_Software
Description

Web solution for automating, tracking & archiving compliance programs

Images
Image
RIACT_1
Details
  • Your Executive and Compliance Dashboard shows you and your compliance team what tasks and reviews need to be complete and gives you access to important information in one solution.
Image
RIACT_2
Details
  • Your advisors and employees have access to a simple landing page to submit requests or information to your compliance team for review.  Eliminate inefficient emails and keep your compliance program information in one place.
Features

Web solution for automating, tracking & archiving compliance programs:

  • Automated Compliance Calendar, Tasks and Workflows
  • Compliance Submission, Review, Documenting and Archiving
  • 20+ customizable, turnkey compliance web forms available
     
Vendors
RIA Compliance Technology
Management Style
Discount - Yes
Schwab Products
SIT Provider
Section
Compliance
Practice Management
Ad Hoc Tags
DoubleClick Tags

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