|
ADTS saves time by eliminating the manual review of accounts to verify that required documents are on file. The user defines the documents required for each type of accounts, but such documents could include W9s, W8s, Prime Brokerage Agreements, Corporate Resolutions, Partnership Agreements, Trading Authorizations, etc.
ADTS saves time by eliminating the manual "mailing" process by emailing, or faxing the documents, or, in the event that a client is not accessible via "email", ADTS will print the required forms and a cover letter explaining the requirements.
As the required documents are received back from the clients, the user simply updates ADTS to reflect that the documents were received. In the event that the documents aren't received ADTS will send the client reminders to send back the documents. In addition, ADTS can be configured to send notifications about past due required documents to distribution lists (for example, members of the Compliance Department, Front Office Registered Representatives, or Registered Principals of the firm).
ADTS applies user-configured rules to automatically generate and track all account documents in one easy-to-use web-based solution. From generating the appropriate account documents and maintaining document-tracking data to notifying customers about document deficiencies, ADTS tracks required account documents to meet regulatory requirements as well as your internal rules and policies.
|
