SmartOffice Delivers Everything a Broker-Dealer Needs
Systematically audit all statements and reports sent to clients. Easily gather records for FINRA reviews and other regulatory needs.
Carry out advisor compliance reviews methodically by tracking tasks and overall progress. Take advantage of tools that efficiently compile relevant documentation.
Marketing Content Approval
Manage compliance risks associated with marketing campaigns. Use review workflows to oversee marketing content and speed the approval process.
Automatic archiving of important data produced by reps—communications, notes, meetings/appointments, proposals and more—makes compliance easy for reps and compliance officers alike.
Give your reps the flexibility to use the tools they’re comfortable with. SmartOffice handles data collection for future reviews and audits in the background.
Easily connect SmartOffice to third-party internal ticketing systems, transaction compliance systems (e.g., Docupace), compliance-focused marketing content systems, and investment data feeds.