Best Practices
IAS helps reduce the risk associated with your practice by enabling proactive management of exposures and assisting in the application of standards. Flexibility, process management workflow and control help alleviate regulatory overhead.
- Supervisory Reviews of Data, Trades, Account Key Data
- Trade Blotters
- Suitability Reviews and Client Updates
- Customized Views to Support Audit Enquiries
- "Best practice" Workflows to Standardize Business Processes
- Capture of Client Communications (emails, mailings, reports)
- Approved Client Reporting
- Document Management
- Redundancy of Equipment and Back Ups – Outsourcing
- Security of Access and Information
For more information, please contact:
sales@iassoftware.com