Toronto, September 8, 2014 – PortfolioAid is pleased to announce that its enterprise financial compliance software, PortfolioAid360°, is now available to Canada’s small dealers and their investment advisors at a price that reflects the size of their business. PortfolioAid360° Small Dealer Edition allows small dealers to perform their compliance duties with the same rigor as larger dealers.

“Canada’s small dealers are under tremendous regulatory pressure to perform their compliance duties with the same rigor as large dealers, however they’ve not had access to effective technology solutions at reasonable price points until now,” said Sam Webster, PortfolioAid CEO. “PA360° small dealer edition will reduce costs, strengthen compliance practices, and increase productivity amongst all compliance stakeholders from head office supervisors to investment advisors.”

The benefits to the small dealers are:

  • Better management of the complexity, cost, and confusion in regulatory compliance.
  • Consistent, defensible, and audit-ready compliance results.
  • Improved engagement by advisors in compliance activities.

PortfolioAid360° Small Dealer Edition provides:

  • Risk and investment objectives ratings data
  • Integration with carrying brokers
  • CRM suitability alerts
  • Evidence of supervision audit trail
  • Issue identification and resolution workflow

“We take pride in the service that we deliver, and in PA360° small dealer edition we’ve selected a solution that extends our compliance capabilities in a cost effective way.” said Lynne Foran, General Counsel, Legal and Compliance at Portfolio Strategies Securities Inc.

Since 2001, PortfolioAid has provided market-leading financial compliance software and consulting services to Canada’s wealth management firms and the securities regulators that govern them.

For a demonstration of PA360° small dealer edition, please contact:

Christopher Shultz

Director Strategic Alliances

416 479 4465