Inform360

PortfolioAid’s Inform360 is designed for Canadian investment dealers that are required to deliver Mutual Fund / ETF Facts documents as part of regulatory disclosure requirements.

Advisor workflow

Inform360 uses existing PortfolioAid360 advisor tools including mutual fund / ETF product information look-up and remediation workflow coupled with new functionality that easily allows advisors to:

  • Populate a shopping cart with selected Fund Facts documents
  • Manage a “favourites” list for easy access
  • Choose delivery method: email, verbal disclosure, hand delivery, and postal mail*
  • Retrieve delivery history via custom reporting

 *Mail requires integration with third party mail fulfillment provider and is an additional cost. If a preferred vendor does not exist, PortfolioAid can provide one.

Supervisor Oversight

Inform360 provides supervisors with the tools and insight they require to effectively supervise the delivery requirements. While the primary responsibility falls to the advisor, the supervisor has an obligation to monitor daily activity and ensure that exceptions are dealt with in a timely manner. Inform360 empowers supervisors by:

  • Providing daily pre-sale delivery failure indicators on the existing PortfolioAid360 reports
  • Ensuring gapless supervision with alerts to inquiry resolution dashboard
  • Allowing comprehensive reporting at the dealer, branch, and advisor levels
  • Effectively preparing them for internal and external audits

PortfolioAid performance

PortfolioAid’s intelligent compliance tools help dealers manage the increasing regulatory workload. Through the use of firm wide risk assessment standards, suitability reporting, inquiry management, alerting, and escalation, PortfolioAid offers its clients a unique opportunity to streamline operations and reduce risk.

Please contact us for a demo of Inform360 today.

KYP Monitor

In an effort to protect investors, securities regulators enforce Know Your Products (KYP) rules for dealers and advisors to ensure that investments strategies satisfy suitability obligations. These are considered principal responsibilities by both dealers and advisors and a cornerstone of the investor protection regime.

KYP Monitor satisfies dealer and advisor obligations to monitor approved product offerings for significant changes in structure, features, risks and costs as mandated in the CSA’s Client Focused Reforms (CFRs) regulations. With an extensive list of asset classes and data points to choose from, KYP Monitor can be deployed as a stand-alone solution or as an add-on module to PortfolioAid360.

Highlights

  • KYP Monitor tracks changes for multiple asset classes including mutual funds, ETFs, stocks, and bonds.
  • Head office users will see all changes to dealer product shelf while advisors see only changes to products they hold.
  • Advisors are provided contextual data points with each change including number of accounts the product is held in and the AUA that product represents in their book of business. Further drill down options showcases client KYC details whom hold said products.
  • Emails sent to head office users and advisors when changes occur (push notification).

Please contact us for a demo of KYP Monitor today.

KYP Compare

In an effort to protect investors, securities regulators enforce Know Your Products (KYP) rules for dealers and advisors to ensure that investments strategies satisfy suitability obligations. These are considered principal responsibilities by both dealers and advisors and a cornerstone of the investor protection regime.

KYP Compare satisfies advisor obligations to evidence effective product peer comparisons as mandated in the CSA’s Client Focused Reforms (CFRs) regulations. With an extensive list of asset classes to choose from, KYP Compare can be deployed as a stand-alone solution or as an add-on module to PortfolioAid360.

  • KYP Compare allows for product peer comparisons for mutual funds, ETFs, stocks, and bonds.
  • With built-in product filters, advisors can easily filter and sort products for effective product comparisons.
  • Built-in attestation workflows provide evidence of peer reviews.
  • Monthly reporting provided to head office.

Please contact us for a demo of KYP Compare today.