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BOOKS™ has been thoroughly tested in the field for compliance with the requirements of the regulators, including the SEC, the NASD & State Regulatory authorities. BOOKS™ has been in use by thousands of financial advisors for more than ten years, is approved by the Compliance Officers of their firms, and has been examined in thousands of branch office audits.
While each Chief Compliance Officer must make the decision for his or her firm, it has been demonstrated that BOOKS, when used as instructed in the manual, meets the requirements for front office records of order tickets, manager approvals, account pages, cross-reference pages and blotters.
Every order is time-stamped, and confirm numbers and manager approvals are noted right on the ticket.
In addition, BOOKS™ offers the Compliance Department an easy and efficient way to perform spot checks on reps or offices between formal audits. You simply ask an office to e-mail a BOOKS backup file or to create and mail a diskette or CD containing BOOKS backup data. This gives the Compliance Department a complete history of every transaction in the branch for home-office review.
To learn how BOOKS™ can help you meet your Compliance needs, Contact Us
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