Foster a culture of compliance at your firm by making compliance simple and easy. Gain insight into advisor outside business activities (OBA) and private securities transactions (PST) through an online interview that collects all the information you need to identify potential conflicts of interest and make an approval decision.
Simple advisor portal
Give your advisors a great experience so disclosing their activities is quick and painless.
Streamlined setup and review process
Take advantage of prebuilt questionnaires and supervisor review steps, based on industry best-practices.
Clear advisor oversight
Direct access to advisor disclosures, including past approval steps and supervisor comments.