Cloud-based GRC Tools

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Forms and Disclosure Management

Managing the distribution and tracking the myriad of compliance forms and disclosures can be a real headache. Our robust workflow engine streamlines and automates these complex processes with maximum flexibility.
 
We currently offer automated solutions for: 
 
  • Outside Business Activities
  • Retail Communications
  • Gifts and Entertainment
  • Political Contributions
 
Sample Overview of Outside Business Activites
 
The OBA Tool allows firms to manage, track, and report disclosures of outside business activities from their representatives. The Tool captures and maintains representatives’ disclosures of OBAs and facilitates the filing of U4 amendments.
 
 
 
Features and benefits of the Tool include:
  • Standard or customized submission forms to meet your specific needs
  • Dynamically populated fields from data in a representative’s profile
  • Built-in branching logic to skip questions or elicit more information from representative's
  • Full audit trail
  • Customized approval workflow process based on firm’s structure and type of OBA submitted
  • Automated notifications to reviewers
  • Annual recertification
  • Ability to integrate with a firm’s FINRA WebEFT access to automate U4 amendments
 
 
 
Sample OBA Workflow (Basic)