FINRA audits and check blotters
One of our clients recently completed a month long FINRA audit where they asked to see the check blotter and procedures. Unfortunately the existing manual processes where not adequate. E*Assist created a bespoke blotter in days that allowed reps and home office to store and track the progress of every client check. Development was so swift that the new capability was shown to, and signed off, by the regulators mid audit. E*Assist brings the advantage of real-time enhancements, something that is becoming increasingly important in today’s regulated markets.
