EAI Compliance Module Titanium Edition
Functional highlights of EAI Compliance Module:
- Automates determination of customer and product suitability under FINRA and SSAE rules
- Automatically red-flags non-compliant or unsuitable transactions for increased scrutiny and allows you to document compliance reviews at varying levels.
- Initiates red-flags according to your rules, definitions, and policies
- Tracks licensing, continuing education status, and personal accounts by rep or agent
- Determines agent licensing suitability transaction by transaction
- Automatically Notify registered reps of expiring or missing sutiability
- Tracks complaints registered against an agent, product or office
- Compares number of complaints to number of sales
Forms and Reporting
- Electronically emulates Investment Authorization Forms
- Allows you to create your own detailed reports, adding to our already extensive list.
- Generates timely, tailored reports like the Compliance Status and Patriot Act reports
Get a live demonstration.
Call your EAI representative today. (503) 644-3057 x232or email: firstname.lastname@example.org