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Information, document, and compliance management for financial professionals, clients, and supervisors
Information, document, and compliance management for financial professionals, clients, and supervisors
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机译:面向财务专业人员,客户和主管的信息,文档和合规管理
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摘要
A method and system for integrating and managing information, documents, and compliance among financial professionals, financial professional clients, and financial professional supervisors. The method and system of the invention considers all information necessary for a financial professional to run their business and includes information relevant to the client and supervisor. This information includes full information management, electronic file management, compliance management, broker/dealer oversight, portfolio management, calendar management, and communications management. This information is presented to the financial professional, client, and supervisor in distinct yet integrated modules. Additionally, the method and system of the present invention offers tools for the financial professional, client, and supervisor that are relevant to their respective needs.
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