Solutions for Investment Advisers
Books and Records
It’s time for a FINRA review and you need to gather accurate customer information and suitability profiles to go along with your sales data. Do you scramble to assemble handmade reports and spreadsheets? Not if you have EAI’s powerful Books and Records feature.
Secure. Complete. Accessible.
More than just a repository for trades and accounts, EAI’s integrated platform stores increasingly vital data on clients and accounts so there won’t be a review question you can’t answer. Our detailed client profiles store essentials like risk tolerance, investment objectives and income information necessary for compliance and sales decisions.Other features:
- Compiled Pershing, DST, DTCC or other clearing firm data
- Diligent tracking of customer, account or transaction changes
- Time, date and user stamps for updates to data
- Up-to-date position and balance information
- Demographic and personal data for clients and accounts
- Owner and additional party relationship tracking
- Automatic flagging and reporting on suitability or profile changes
- Ready-to-run reports exportable to CSV, PDF or Excel
- AdHoc reporting for queries of specific tables or fields
To learn more about how EAI can help with your next audit, call (877) 537-1507 or Request a Demo today.