Financial Promotions

 

Compliance Star allows you to select from a package of modules which can be tailored to your needs and requirements

 

 

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Background

  • Financial Promotions that the firm wants to distribute is subject to due diligence in accordance with the Distant Marketing Regulations.

Compliance Star

  • Online submission, tracking and approval of all financial promotions.
  • View all financial promotions sent by clients via a list of companies.
  • Ability to reassign the task to another user granting them permission to view and process the assigned financial promotion.
  • You will be redirected to the checklist to assess the financial promotion and either approve or reject engaging dialogue with the client through the checklist submission and notes.
  • It will also allow you to flag set expiry dates of any financial promotion which in turn triggers a task to ensure all financial promotions are compliant and up to date.
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Benefits

  • You will be able to view a full audit trail of all actions carried out on the financial promotion selected and be able to view/request or add documents to the client file.
  • All financial promotions will be centrally monitored and a management report can be provided at any time for status updates and approvals.
  • Centralised reporting on all the firms Units/Agents financial promotions.
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