Financial Affirmations

Business Questionnaire Deployment Made Simple

Financial affirmations and certifications ensure that your employees are conducting themselves according to the policies and procedures created by your firm. The lack of employee adherence to your specific financial affirmations and certifications is one of the most often cited issues by the SEC. Annual financial affirmations and certifications by employees are necessary to quickly identify potential risks throughout the firm.

With the Compliance11 Supervisory Suite, your firm can automatically distribute a business questionnaire asking employees to document and attest to his or her personal investment activities, outside business interests, etc. This helps ensure employee compliance to your firm's financial affirmations and certifications procedures. In addition, it allows you to document and track which employees have acknowledged and attested to the firm's policies. The process is simple. The software will send out notifications for financial affirmations or reaffirmations of pertinent information and trigger a compliance review based on an exception handling process that your firm defines. With this feature, your firm can quickly identify incomplete financial affirmations and delinquent responses to all business questionnaires.

Key Product Features for Financial Affirmations & Certifications

• Distribute and collect employee policy business affirmations and disclosures automatically
• Identify non-compliant employees or potential conflicts and concerns with sophisticated key word search capabilities
• Establish rules to automate the renewal of business financial affirmations, certifications and disclosures