Using Software for Compliance Activities

King, Rebecca
November 2010
Journal of Financial Planning;Nov/Dec2010 Practice Management, p20
Academic Journal
The article focuses on the application of software/electronic tool for compliance activities of financial advisers. It notes that the tool is used in developing the compliance policy manual and procedures in financial planning. Research finds out that over one-third of the advisers use the tool for their compliance activities. This suggests the satisfaction of advisers in the tool that they are using. It points out that advisers are also using other software solutions to assist the compliance functions.


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