Regulatory Supervision Solution

Auditing all advisor interactions with clients is an extremely manual and time-consuming process. There are significant risks of fines and supervisory action if topics required by regulation aren’t adequately covered during advisor-client meetings.

Our Digital Experts, built on Purple Fabric, review advisor-client meeting recordings to ensure all regulatory-required topics are covered adequately. They highlight topics that have been adequately discussed, identify items that still need attention, and suggest actions the advisor needs to take to comply with regulatory requirements.