Compliance and risk · Live demo
Policy attestation reminders and questions
Reminds staff who haven't finished their annual policy attestation, answers what they're confirming and passes anything that needs a disclosure to compliance.
Talk to Olivia at Quillbrook Wealth Partners
Quillbrook Wealth Partners is made up. Olivia is a real agent, set up the way we would set one up for your team. Talk or type and ask what your staff would ask.
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The problem
Every year compliance chases the last few staff to sign their code of ethics attestation, one email at a time. People with a question put it off, which is exactly when a disclosure gets missed.
How it works
- Reads who has and hasn't attested from the compliance system
- Sends reminders by email and calls as the deadline gets close
- Explains in plain words what the attestation covers and what changed this year
- Adds the right disclosure form when someone mentions a new account or other change
- Passes anything that needs judgment to the chief compliance officer and reports progress daily
What it connects to
- AgentHi Ben, it's Olivia for the compliance team. Your annual code of ethics attestation is still open, and it closes on Friday. Have you got two minutes?
- Ben (associate adviser)Sure. What am I actually confirming? I haven't read the whole manual.
- AgentThat you've read the code of ethics and this quarter's policy changes, and that you've reported every brokerage account you or your household hold. The electronic communications change is the main new part this year.
- Ben (associate adviser)My wife and I opened a joint brokerage account last month. Is that a problem?
- AgentNew accounts need reporting within 10 business days, so it's best done now. I've added the account report form to your attestation link and let Paula Grieve know. I'll email you the link now.
Illustrative conversation. Names, numbers and details are made up.
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