Financial Promotions that the AR wants to distribute is subject to the principal firms due diligence in accordance with the regulators distant marketing of financial services rules.
- 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.
- 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 AR’s financial promotions.