EAI Compliance Module Titanium Edition

Functional highlights of EAI Compliance Module:

Suitability

  • 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

Licensing

  • 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

Complaints

  • 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

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Or call (503) 644-3057 for a live demo with an EAI representative today.