One of our clients came to us with a problem; how to meet property transmit rules for managed money and mutual funds. Our solution: a workflow module for tracking, monitoring and reporting on the location and status of customer funds. We started the conversation by...
Accuzip Advisor AML Audit Automation Books and Records Call Center CIP CMRA Commissions Compensation Management Compliance CRM Data Aggregation Data Management Data Validation Direct Business DOL Rule DTCC FINRA GL Reporting Implementations LPL Management Reporting Mutual Funds New Features Operations Partnership Referrals Reporting Service Solutions third-party broker-dealer Trade Maintenance
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