E*Assist's COMPLIANCE STP (TM) provides "straight through processing" concepts in a single solution that automates any compliance workflow involving collaboration between reps and compliance team, including:

• Approvals (VAs, OBAs, Marketing events etc)
• Attestations Check tracking and status

An online document library provides access across the firm to all approved documents and policy statements.

Automated procedures walk reps through the required steps to complete any task, including:

• Account opening
• Attestation reporting
• Check processing, and many more

Accuracy is ensured by loaded investor data from back-office.

E*Assist automates many different reporting-based compliance workflows that challenge your organization, including:

• Attestation
• Bluesky verification
• Check receive blotter
• Commission statements distribution
• Complaint management
• Direct mutual fund & blotter
• Insurance licenses management
• Marketing event approval
• Outside business activities reporting
• Personal accounts reporting
• Personal transactions reporting
• Private securities transactions reporting
• Registration management
• Sales brochure approval
• Variable annuity (2821) & blotter

E*Assist weaves compliance workflows seamlessly with its other business and productivity tools. This ensures rep and advisor understanding and use of compliance processes. Your compliance team can monitor your firm's overall compliance status at any time.

Click here to read about our Regulation S-P solution.