The Account Document Tracking System

Here are some of the bells and whistles. ADTS:

• Has an intuitive, easy-to-use web-based interface.
• Reduces the chance of making errors and for situations requiring action to go unnoticed.
• Can be integrated with any back office/trading system with an open architecture that allows for read/write access of its data.
• Automatically generates required account documents based on user-configured rules and account/entity type. ADTS can email or fax account documents depending on the designated send method for the account. In the event that a client prefers hard copy documents, ADTS will print a cover letter, the required documents and an envelope in which to send the package.
• Applies rules at the end of the business day in a "batch" like process. During rules processing any accounts that are document incomplete are reviewed by ADTS.
• Keeps an historical record of each document request for an account for audit trail purposes..
• Notifies customers about past due account documents by sending an email or fax with the past due items attached.
• Notifies present distribution lists (for example, Compliance, New Accounts, or Branch Management when a customer does not respond to successive document requests (e.g. 60 days have passed since the account was opened and it is document incomplete).
• Allows documents and rules to be easily amended to comply with new regulations and internal policies.
• Allows certain documents to be configured as "untracked" (e.g. disclosures or informational documents) so they are ignored during rules processing.
• Provides the capability to indicate that a document has been received or waived.
• Provides ways for a registered principal (e.g. new accounts manager) to approve account changes, such as the address, a contact at the firm, or a tax ID. During the approval process the date, time and approving individual are captured for auditing purposes.
• Maintains an audit trail of account changes showing before and after images.
• Has an extensive search capability for locating accounts based on specific criteria such as account name, tax ID, etc. In addition, the user can search based on other criteria such as all margin accounts, or all partnership accounts.
• Generates reports showing past due and waived accounts.
• User has the ability to make specific notes on an account, such as "Series 24 approved trading to continue since documents will be received this afternoon via Federal Express."
• Prints all account information including a list of account documents indicating whether they are received, waived or past due. The output is in the form of a PDF that can be printed, saved or emailed.

ADTS Requires:

• Any PC equipped with Microsoft Internet Explorer version 5.0 or greater and a Microsoft Windows operating system (e.g. Vista, XP, 2000).
• Microsoft Internet Information Server version 5.0 or greater.
• Microsoft .NET Framework version 1.1.
• Microsoft SQL Server 2000/2005 or Oracle 8i/9i/10g database - both are ODBC compliant databases that can be accessed by other in-house applications.
• Fax server software to fax account documents (optional).
• SMTP email server for outgoing email generated by ADTS.

We do that too. Although ADTS is highly intuitive, we offer targeted training and support to help customers get as much out of the software as possible. After all, the point is to save you time.

Anchovy Software Inc. Denver, CO USA