OLIVIAPROPRIETARY SOFTWARE THAT ORGANIZES COMPLIANCE FUNCTIONS
OLIVIA organizes your business workflow with the various tasks and documents that underlie our compliance program.
OLIVIA combines a workflow function with a template form-builder function to create a largely automated interface for independent registered reps.
This provides you with a 24/7 portal to your records with us and facilitates a continuous dialogue between you and our compliance team.
Compliance BulletinsDevelopments in the regulatory world that affect your business.
Our monthly compliance bulletins keep our clients abreast of new rules and guidance from the regulatory authorities. The bulletins are designed with the active practitioner in mind, providing a clear idea of immediate actions to be taken and providing original source material for further research. See below for some recent issues.
|Customer Identification & Verification|
|Perils of Pre-Marketing|