Broker Dealer Information
Compliance made simple.
The AdvisorSquare Compliance Manager effectively integrates your compliance department into the development process of each website by giving them 100-percent control of all content approval. Each time representatives change information on their website, it is automatically routed electronically to the compliance department for review and approval. The AdvisorSquare Compliance Manager's unique user interface enables the compliance department to easily identify, view, modify and approve or deny all new website content. The solution delivers the following features.
Compliance efficienciesRepresentatives choose from a library of pre-approved materials to minimize the efforts of the Compliance Manager.
Streamlined communicationCompliance officers will receive an email notification when a website requires action.
Intuitive interfaceColor-coded display for clear viewing. Edits displayed in a "before" and "after" format for easy review.
Audit trailAudit notes permanently attached for future reference.
Paperless archiveAll versions of websites are archived and retrievable online.
ConsistencyDisclaimers are automatically inserted on every page.
As a prominent and trusted Web-presence provider, AdvisorSquare is an ideal partner to help financial professionals establish a solid online presence. Our business development consultants are happy to explore and evaluate opportunities to form valuable partnerships. To request more information about becoming a partner, please complete our Partner Inquiry Form.