Run Your Team with Confidence Knowing that You’re Meeting Fiduciary and Regulatory Requirements

Financial services institutions seek CRM products that comply with local data residency requirements and provide integrated, configurable workflows for key processes: DoL Fiduciary Rule, Know Your Customer, Anti-Money Laundering, and other regulatory compliance processes. On top of that, these solutions also need to provide data governance services (e.g. auditing).

Complying with local data requirements is achieved by:

  • Using CRM for Sales, Trading and Research to guide information capture
  • Auditing, and tracking interactions with clients
  • Automating reporting to support their regulatory responsibilities


Key Compliance-Driving Features

We equip firms to effectively comply with and adhere to industry and government standards and privacy regulations using the following features:

  1. Regional Data Residency: Our flexible entitlements model allows firms to provide business bankers access to data by region, the ability to create business rules and workflows based on a user or group’s geography – all while leaving the data in their appropriate regions, according to their compliance regulations.
  2. Security: Incorporating our flexible entitlements model, our security model can be configured to comply with any required privacy legislation and allows you to segment data access, business rules, customer and compliance workflows, and several other system parameters. This can be further defined based on your user or user group settings.
  3. Business Rules: These rules, governing privacy and consent, are centrally defined in our Business Model Domain Layer.
  4. SmartForms & Workflows: These standardize and automate scheduled and on-demand processes. Dynamic SmartForms guide users through the data capture process, presenting fields and forms relevant to the data captured. All forms are pre-filled with information from integrated data sources.
  5. Reporting: This includes information collected by users through business processes, or made available from source systems – at any time.
  6. Auditing: This feature, which logs data changes across all systems, allows you to perform lineage tracking. For each data change, we will track the old value, the new value, who changed it, when they changed it, and in what system.
  • Explore Our CRM Product Further
  • CRM for Wealth Management

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