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.
“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?
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.
