Suitability Tracking^TM

The system scans characteristics of each account (e.g. holdings and trades vs. client profile) and signals when they fall outside of suitability, regulatory (if applicable) or investor guidelines, or combination. Suitability Tracking^TM enables complete compliance workflow with audit trails for trade review by manager, initiating cases and case management, on demand reports and review of client profiles and exceptions management. Below is a partial list of categories of guidelines:

	Suitability vs. investment objective, risk tolerance, age, net worth and income, product risk, etc.
	Groupings and concentrations tests
	Security level attributes tests
	Portfolio market value tests
	Size of position
	Prohibited or illiquid securities
	Client safeguard alerts

Additional features:

	Enterprise wide reports showing product and risk exposures reports and alerting at the RR, branch, OSJ and enterprise levels
	User defined compliance roles and privileges
	Software interfaces with over 4,000 clearing firms and financial institutions
	Ability to include held away assets platforms
	Alerts of unusual trade patterns and cash flows

Optional features:

	Intelligent calendar for assigning and managing compliance workflow at the branch, OSJ and enterprise levels
	Branch audit management tool and work station including FINRA rule rationale, audit instructions and techniques, audit checklist, workflow scheduling and assignment, on demand risk reports, bad patterns detection and auto reminders.