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CRM,Compliance Monitoring & Alerts


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Find out more about ClientLogix from the industry experts at UNAPEN

Compliance, SEC, SEC Compliance, Compliance CRM, ClientLogix CRM Compliance

How many firms are desperately trying to keep up with increasing regulatory oversight but just can't find the time to do everything?

Here's a quote from one frustrated CEO:


"I knew we were not keeping up with all of our compliance-related tasks because my Chief Compliance Officer looks too well-rested!"

- CEO of an RIA servicing Institutional and Individual Investors

A Client Relationship Management, Business Intelligence & Compliance solution - built on the Infor CRM platform - that simplifies the daily challenges of Investment Advisors, Wealth Managers, Family Offices, Bank & Trusts, Private Equity, Hedge Funds & Fund of Funds.

ClientLogix Empowers Your Compliance Team with the Right Tools

Whether You're Responsible for  $1 billion or $100 billion, ClientLogix Makes Compliance Manageable

Proactive Compliance Monitoring, Alerts & Reporting

There's no way to track everything manually, automated daily alerts and reports tell you when and where to look which is invaluable in helping Chief Compliance Officers quickly address or even avoid Compliance issues

Faster, Easier Preparation for SEC Audits

Readily provide key information required by SEC auditors to help avoid the fire drill that many investment advisors experience

Integration of Key Systems in One Repository

A single system that can monitor multiple regulatory sources and provide a focused view of
regulatory changes important to your organization - Client communication, KYC, historical email, upcoming and overdue tasks/responsibilities, asset allocation, risk tolerances, trading activity -

All in an Easily-Searchable Portal

Adapt Quickly and Efficiently to Regulatory Changes

Easily construct and update an internal communication strategy to ensure that your staff is notified of new regulations and has a method to incorporate them into your existing compliance program

Anywhere Access - Power Desktop, Web Client, Mobile Client and Within Outlook

One license allows users access via all 4 interfaces so they can work how and where they want 

Download Infor CRM Mobile.pdf




ClientLogix™ turns complex data located across multiple disparate systems UNAPEN, CRM, ClientLogix CRMinto business insight in one centralized portal.  What used to take hours or days to figure out can now be done in minutes using a straightforward and easy-to-use dashboard interface that is extraordinarily powerful and flexible.

Built on the world-renown Infor CRM system, ClientLogix integrates your portfolio accounting data and other critical information from in-house spreadsheets or databases and third party systems to create a Business Intelligence & Compliance platform designed for financial services.



InfoGraphic - Top 5 Compliance Trends Around the Globe in 2016

Keeping Up with the Changing Regulatory Landscape

CRM Designed for Asset Management

From investment performance and client reporting to compliance and sales tracking,

ClientLogix extends the power of Infor CRM, tailoring the system for:

Investment Advisors,

Wealth Managers,

Single and Multi-Family Offices,

Private Equity Firms,

Hedge Funds and Fund of Funds,

Bank & Trusts.


       Check out the following surveys:

          KYC challenges in 2017: A focus on the impact of global regulations in the United States

An independent 2017 survey discussing the real impact of global changes in Know Your Customer (KYC) regulation on both financial institutions and their corporate clients in the United States.

The results of our 2017 survey reveal that many of the challenges highlighted in last year’s survey continue to plague both FIs and their corporate clients.

          Fintech, Regtech and the Role of Compliance in 2017

Thomson Reuters has undertaken its second global survey to assess the impact of developments in regtech and fintech on the role  of the compliance function in financial service firms.

Compliance and risk practitioners from nearly 800 financial services firms across the world took part. The challenges for firms range from the need to have the appropriate skill sets at all levels of the business, to the capability to be able to evaluate possible regtech, fintech or insurtech solutions.   

          Cost of Compliance 2016

Thomson Reuters has undertaken its seventh annual survey into the cost of compliance and the challenges firms expect to face in the year ahead.
Compliance professionals from financial services firms across the world took part in the survey with the results enabling firms to benchmark the changing challenges against a backdrop of increasing personal liability.

               Conduct Risk Report 2016

Thomson Reuters third annual survey on how financial services firms are managing conduct risk has identified distinct industrywide trends against which firms can benchmark their own progress.
Compliance and risk practitioners from more than 260 financial services firms across the world, including banks, brokers, asset managers and insurers took part in the survey, which closed in Q4 2015.
Given the sharpening regulatory focus on Global Systemically Important Financial Institutions (G-SIFIs), Thomson Reuters specifically asked G-SIFIs to identify themselves to enable comparison between themselves and other, smaller firms.

       and these related blog articles:

          CRM - 6 Steps to Ensuring a Culture of Compliance

          Data Maturity in the Investment Advisory Community


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