E*Assist's collaborative compliance workflows seamlessly link the broker/advisors' client-facing activities with the home offices' compliance requirements.

Compliance teams can proactively push tasks such as an attestation report to complete onto the wealth manager's desk without the headache of sending it via email. All responses are immediately available through the compliance team's E*Assist dashboard.

Reps and advisors can also proactively send requests to their home office compliance teams. This can include a request to approve a marketing event or outside business activity (OBA). Click here to see a list of the compliance workflows E*Assist can automate today.

E*Assist all activities are automatically logged, providing a full audit trail should the regulators request such information.

Firms can be confident that they can demonstarte effective implementation of their complience policies and procedures.