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CLIENT PROFILE, RISK TOLERANCE AND REGULATORY COMPLIANCE
The
Prospect and Client Profile Establishment component gathers a complete data set on the prospective client including demographics,
financial & employment info, assets, liabilities, risk tolerances, dependents, spouse info, regulatory compliance, etc.
Regulatory
Compliance – stores appropriate data and can run compliance checks on prospective clients to satisfy regulatory requirements
including:
a. Patriot Act
b. KYC (Know Your Client)
c. Anti-Money Laundering
d. Corporate
Governance
e. Sarbanes-Oxley
f. Basel II Accord Disclosure
g. Suitability
h. Ongoing Drift/Variance
Monitoring with Real-Time Alerts & Notification
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