PA Inform is designed for Canadian investment dealers required to deliver Mutual Fund / ETF Facts documents as part of its regulatory disclosure requirements (per NI 81-101).
Advisor Workflow
PA Inform uses existing PortfolioAid360 advisor tools, including mutual fund / ETF Facts document retrieval coupled with new functionality that allows advisors to easily:
- Populate a shopping cart with one or more Fund Facts documents
- Manage a “favourites” list for easy access
- Choose a preferred delivery method: email, hand delivery, verbal disclosure, and – mail
- Retrieve evidence of delivery history via custom reporting
Supervisor Oversight
PA Inform provides supervisory staff with the tools they require to supervise the delivery requirements effectively. While the primary responsibility falls to the advisor, the supervisor must ensure exceptions are dealt with in a timely manner. PA Inform empowers supervisors by:
- Providing pre-sale delivery failure indicators
- Allowing comprehensive reporting at the dealer, branch, and advisor levels
- Effectively preparing them for internal and external audits
- Effectively preparing them for internal and external audits
Please contact us for a demo of PA Inform today.
