Web-based Compliance Tool

comport365™ adds superior efficiencies to your firm’s compliance program. Designed for investment advisers and broker-dealers, this versatile web-based tool utilizes calendar functionality to capture and monitor compliance events ranging from procedure testing and office inspections to meetings and training programs.  comport365™ provides a venue for the compliance team and line of business professionals to monitor and communicate about compliance matters. CCOs will find comport365™ to be an invaluable resource in the assessment and allocation of compliance capital. comport365™ significantly supports the annual compliance review for advisers and certification process for broker-dealers, as all records pertaining to compliance activities, including testing, recommendations, and resolution actions are consolidated within the tool.
 

Features

The tool allows users to:

• Pre-populate events to create one or more customized compliance calendars;
• Select repetition intervals to schedule/delegate compliance activities on a recurring basis;
• Automate e-mail notification to employees of pending compliance events, deadlines and responsibilities;
• View daily, monthly, and yearly snapshots of compliance activity of both a pending and historical nature;
• Consolidate by compliance event all relevant rule citations, policies, procedures, audit findings, recommendations, and actions in an easily viewable and retrievable manner;
• Flag important compliance activities and events that may warrant immediate attention;
• Search and report compliance events and related records at the touch of a button;
• Grant flexible user access ranging from administrator functionality to “view only” access, “event request” permission and more.