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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

ClientLogix Empowers Your Compliance Team with the Right Tools

In order to keep up with the changing regulatory landscape, firms need to have the resources and technological framework in place to build compliance practices into their everyday workflow.

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,

Anti-Money Laundering Oversight,

Know-Your-Client rules,

Compliance Review Calendar,

Regulatory Reporting,

Historical Email & Documents,

Upcoming & Overdue Tasks/Responsibilities,

Asset Allocation Targets & Drift,

Client Risk Tolerances,

Trading Activity -

All in an Easily-Searchable Portal


Adapt Quickly & 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 here


Unlock the Potential with ClientLogix Compliance Tools Today!

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