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Compliance IQ

StratiFi for Asset Managers

Collaborate, Communicate, & Manage Compliance with Your Firms Policies and Procedures

Discover How to Improve Communication and Transparency Between Advisors and Compliance So You Comply with the Four Component Obligations

Schedule your free demo and learn how your firm can comply effortlessly with Reg BI obligations using Compliance IQ by StratiFi.

After submitting the form, you will be directed to a calendar to choose the date & time most convenient for you.

Serious Matters Require a Serious Solution

“Reg BI is clear: broker-dealers must act in the best interest of their customers. When they fail to do so they put retail investors at risk and we’ll hold them accountable.”

— Gurbir S. Grewal, Director of the SEC’s Division of Enforcement

Get Started Today

How many accounts will you have?

0 to 500

Compliance IQ

$500

per month
for 0 to 500 accounts

Provides key compliance features:
  • Standardize PDF disclosures for consistency
  • Customize and generate Form CRS for RegBI
  • Surveille advisors and view their accounts, clients, and households that have a portfolio risk vs. risk tolerance discrepancy
  • Find drift exceptions, add compliance notes, select specific actions, and tag team members
  • Edit & append disclosures for all email correspondence and reports, including proposals and IPS
  • Download & export compliance records for audits
  • Includes Professional Plan for all advisors for 1 year

501 to 1,000

Compliance IQ

$1,000

per month
for 501 to 1,000 accounts

Provides key compliance features:
  • Standardize PDF disclosures for consistency
  • Customize and generate Form CRS for RegBI
  • Surveille advisors and view their accounts, clients, and households that have a portfolio risk vs. risk tolerance discrepancy
  • Find drift exceptions, add compliance notes, select specific actions, and tag team members
  • Edit & append disclosures for all email correspondence and reports, including proposals and IPS
  • Download & export compliance records for audits
  • Includes Professional Plan for all advisors for 1 year

1,001 to 5,000

Compliance IQ

$1,500

per month
for 1,001 to 5,000 accounts

Provides key compliance features:
  • Standardize PDF disclosures for consistency
  • Customize and generate Form CRS for RegBI
  • Surveille advisors and view their accounts, clients, and households that have a portfolio risk vs. risk tolerance discrepancy
  • Find drift exceptions, add compliance notes, select specific actions, and tag team members
  • Edit & append disclosures for all email correspondence and reports, including proposals and IPS
  • Download & export compliance records for audits
  • Includes Professional Plan for all advisors for 1 year

5,001 to 10,000

Compliance IQ

$4,500

per month
for 5,001 to 10,000 accounts

Provides key compliance features:
  • Standardize PDF disclosures for consistency
  • Customize and generate Form CRS for RegBI
  • Surveille advisors and view their accounts, clients, and households that have a portfolio risk vs. risk tolerance discrepancy
  • Find drift exceptions, add compliance notes, select specific actions, and tag team members
  • Edit & append disclosures for all email correspondence and reports, including proposals and IPS
  • Download & export compliance records for audits
  • Includes Professional Plan for all advisors for 1 year

10,000 to 15,000

Compliance IQ

$9,000

per month
for 10,000 to 15,000 accounts

Provides key compliance features:
  • Standardize PDF disclosures for consistency
  • Customize and generate Form CRS for RegBI
  • Surveille advisors and view their accounts, clients, and households that have a portfolio risk vs. risk tolerance discrepancy
  • Find drift exceptions, add compliance notes, select specific actions, and tag team members
  • Edit & append disclosures for all email correspondence and reports, including proposals and IPS
  • Download & export compliance records for audits
  • Includes Professional Plan for all advisors for 1 year

15,000+

Compliance IQ

Custom Pricing
for more than 15,000 accounts

Provides key compliance features:
  • Standardize PDF disclosures for consistency
  • Customize and generate Form CRS for RegBI
  • Surveille advisors and view their accounts, clients, and households that have a portfolio risk vs. risk tolerance discrepancy
  • Find drift exceptions, add compliance notes, select specific actions, and tag team members
  • Edit & append disclosures for all email correspondence and reports, including proposals and IPS
  • Download & export compliance records for audits
  • Includes Professional Plan for all advisors for 1 year

* All plans are annual subscriptions.

Why Compliance IQ?

Compliance IQ makes it easy for advisors to show they are acting in the best interest of clients and simple for compliance teams to monitor reps and protect the firm.
 
Compliance Officers can surveille advisors and view their accounts, clients, and households that have portfolio risk that is not inline with risk tolerance.
StratiFi for Asset Managers
Is Your Firm Compliant with Best Interest Obligation Regulations?
Reg BI enhances the “suitability standard,” making it clear that any financial professional must make recommendations that serve the client first, and not put their own interests ahead of the client. There are four identifiable duties that firms, their advisors, and associated persons must adhere to: Care, Disclosure, Conflict of Interest and Compliance.

Care Obligation

Clients are easily profiled so advisors can fully understand the client’s risk tolerance, goals and objectives. StratiFi’s technology helps advisors create proposals with specific recommendations and options to help clients understand the risk, reward, and the costs of each recommendation.

  • Understand client risk profile

  • Analyze risk attribution to evaluate potential recommendations

  • Compare and analyze transactions for suitability

  • Evaluate risk, reward and costs for multiple options

Conflict-of-Interest Obligation

StratiFi allows advisors to compare risk/reward of different products before the transaction, run stress tests and present clients with the impact of fees and costs on the performance of portfolio, investment product or roll-over being recommended by the rep.

  • Show impact of fees on performance

  • Show changes in expenses

  • Make recommendations based on account-type

  • Stress test Portfolios with different securities

Disclosure Obligation

Firm level templates with required disclosures are created within the StratiFi system to show clients all of the necessary information required when recommending a particular strategy, security, or investment product. 

  • Form CRS

  • Disclose expenses, fees and conflicts of interest

  • Setup compliance approved templates

  • Centrally control proposal disclosures & IPS

Compliance Obligation

With StratiFi, a firm’s compliance and supervisory professionals can easily implement Reg BI guidelines, monitor rep activity, and work with advisors to document and resolve any deviations from the firm’s Reg BI policies to ensure they protect their clients, advisors and their firm.

  • Monitor accounts for drift and automatically create exceptions

  • Receive alerts and collaborate with reps to resolve exceptions

  • Add compliance notes and export exception reports for regulators

  • Build a proactive compliance culture and show compliance with Reg BI

Increase Revenue

Streamline prospecting, implementation, and monitoring.

Focus on risk first and go from introduction to close in a few simple steps.

Improve Outcomes

Stress test portfolios to reassure clients or take action.

Provide clients with compelling reports to lower investment stress and improve outcomes.

Enhance Compliance

A centralized framework for risk oversight across branches.

Real-time dashboard to monitor risk in an advisor's book and alerts for advisors and their supervisors.

Reduce Liability

Show regulators client profiling and portfolio suitability.

Assess risk tolerance and portfolio risk on the same 1-10 scale to evaluate suitability and reduce liability.

Your Next Step…

Compliance IQ by StratiFi is your new home for compliance technology. It makes it easy for advisors to collaborate and communicate with their compliance officers so you can sleep soundly at night knowing your compliance team has everything under control.

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