Brief explanation of your Dashboard and its functionality
This is your Navigation Toolbar
Anytime you click on Dashboard, the App will bring you to the home screen.
Your "Documents" button will bring up any company documents such as a compliance handbook.
Clients are housed under the Clients button, here you will be able to update clients with annual reviews, account info, sharing clients, householding clients, and much more.
The CCO button will allow you to manage Alerts, Submitted Forms, and Files.
The Compliance button will take you to your compliance calendar where you can see your Tasks, Compliance Calendar for all tasks and who has them completed or assigned (Task Creation is located here too), Compliance Forms Library where you can create, archive, and pin forms to dashboards, also our RSS feed from the SEC will be your Compliance News.
Reports will allow you to see reports for complete and incomplete forms, completed and outstanding tasks, alerts for all forms and their status, annual reviews, client reports, client accounts, accounts with no clients assigned, required and missing documents report, scheduled meetings reports, clients by state, users report and a file search
The Trade Monitoring Module provides automated monitoring of Adviser Trading activity. CCOs can set custom trade rules, and Advisor transactions will be checked against those rules. With a custodial data feed, Advisor trades are automatically monitored for front running. Preclearance and Quarterly Transaction Reports are supported as well.
We have our Help Documents and Frequently Asked Questions stored under the Help button.
The little white circle with your initials is where you will go to change your settings, passwords, roles, your digital signature for documents, Integration setting, Custodian IDs, support capabilities, company setting (for things such as state registration, view users), consultant capabilities, add users and restrictions, and logging out.
Your Compliance Calendar
In your Compliance Calendar you will find any and all tasks. In your Dashboard you will see a snapshot of your current tasks. The default view is 60 days for this however, be aware for anything over 60 days will show as overdue (this example has 3 tasks overdue). Clicking on the View All button in the bottom of the box will take you to your My Tasks page, which has a list or calendar view of your Tasks. The user has the ability to see any incomplete or completed tasks and can export tasks to the calendar. The Master Calendar allows you to create tasks, delete overdue tasks and remove tasks from archived state. The Compliance Forms allows you to create forms, pin them to the dashboard and remove forms from archived status. The Compliance News feed allows you to view our RSS feed of SEC compliance news.
Your Action Items
This is a snapshot of your Action Items. Action Items are used to track compliance issues. These are things you need to respond to such as form submission from Advisors for approval, new published forms, notifications, and more.
The Unhouseholded Accounts tile lists accounts that do not have a client assigned. Here you can create new clients with the selected account and add to an advisors personal account.
The Trade Monitoring Module is an optional add-on module that provides automated monitoring of Advisor Trading activity. CCOs can set custom trade rules, and Advisor transactions will be checked against those rules. With a custodial data feed, Advisor trades are automatically monitored for front running. Preclearance and Quarterly Transaction Reports are supported as well.
Please contact our sales department if you are interested in Trade Monitoring.
Quick Access Forms
These are quick access forms, commonly used compliance forms that you can simply click on for quick use and submission.
Your Customer Service Portal
In the bottom left of your page is your Support button, this will go directly to Support Team for live chat support within the App, available on every page.