Benefits of using technology to securely track your compliance efforts

Tuesday, April 30th, 2019 and is filed under AI Insight News

Working with alternative investments can be complex given operational challenges and increasing scrutiny from regulators. If you’re using technology tools for everything in your business – practice management, investment research, communicating with clients – why not use it to track your compliance efforts?

Securely document compliance efforts to meet regulatory requirements

  • AI Insight’s secure web-based Training, Education and Research (TER) log offers centralized online compliance documentation and tracking.
  • Document your training per FINRA NTMs 03-71, 05-26, 10-22 and 12-03.
  • Download on-demand compliance reports for proactive supporting documentation including consolidated compliance logs and education module failed question analysis.

Streamline your document management process

AI Insight’s TER log automatically tracks your documentation all on one convenient platform to help you efficiently manage your research, education and training activity, such as:

  • Viewing research reports related to alternative investments
  • Product offering document reviews
  • Creating product comparison reports based on 120+ program features
  • Training activity including product-specific education modules, Firm Element and more
  • Alternative investment industry marketing materials and white papers

Easily access your documentation to save time

The TER log will save you time, so you can focus less on how to manage your regulatory obligations and focus more on your clients’ needs.

  • If you need access to your records, it’s easy to log in, view and filter the information you need quickly.
  • You can easily export if you want to share your records, save for your files, or quickly produce the information you need in the event of an audit.
  • Switching firms? We’ll work with you and your new firm to securely transfer your training history, if applicable.

Be proactive

Use these resources to help you use technology to your advantage:

  1. Re-evaluate the technology tools, as well as the technology training you’re currently using, to understand what improvements you may want to make.
  2. Prepare yourself for internet security risks and unauthorized data access, which can impact clients and your business. Take our latest CE course, “Cybersecurity Awareness for Financial Professionals“, to learn more while helping to meet regulatory-compliance requirements.
  3. Watch a 3-minute video to see the AI Insight platform in action including the TER log and other important features. Or, request a live tour customized to your business needs.