Some of which are:

• Front-line compliance review for advisors.
• Wide range of configurable compliance settings such as: risk and investment objectives display, required compliance documents, user permissions, pre-trade approval, transaction types to be reviewed, amount threshold to be reviewed, etc.
• First & Second compliance level as per MFDA standards.
• Comprehensive transactions, fund accounts, and plans details.
• Automated delivery of notification to responsible advisors regarding compliance decision.
• Compliance dashboard for quick access to the compliance items of the dealer.
• CRM responsive compliance notification simplifies the dealer tasks pre-populating data for the advisor and administrators to track later.
• Easily identifiable incomplete KYC and KYC updates to help the workflow and efficiency of the compliance officer.

And much more….