Annual Advisory Review
Manage annual communication and fulfill compliance obligations.
A systemic approach to facilitating Annual Advisory Reviews.
The Annual Advisory Review Module is a comprehensive solution that enables Financial Advisors to conduct annual meetings with investors, ensuring effective communication and compliance with regulatory obligations. With this module, you can discuss potential changes in the investor's risk profile and investment objectives, allowing you to provide tailored recommendations and strategies.
Our Solution Supports
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-Easily schedule and setup reminders.
-Access and review documents in preparation for a meeting.
-Document key points.
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-Centralized repository for compliance-related records.
-Track the audit trail of all communication and activities.
-Document versioning ensures accuracy and traceability.
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-Generate comprehensive compliance summary reports.
-Stay informed of the regulatory industry changes.
Technical Capabilties
Dynamic Executive Dashboards
Portfolio Visualization
Automated Email Reminders
Custom Excel & PDF Reports
Low-Code Customization
Dynamic Form Builder
Report Builder
WORM Storage
API Integration
Contact Us
DbCom - EQube
Financial Technologies | Regulatory Compliance
2 Research Way
Princeton, NJ 08540
Phone: 609) 651-8222 option 3
Email: sales@dbcomsys.com