Enhance your ability to manage risk and liability, and demonstrate to regulators that you take your trade surveillance responsibilities seriously.  EAI’s Compliance Module provides the features and functionality to manage compliance across multiple business lines including annuities, mutual funds/securities and insurance.

Compliance Module features:

• Automates the review and release process to efficiently address product/customer suitability
• Red flags non-compliant or unsuitable transactions
• Tracks agent licensing, continuing education status and suitability for specific transactions
• Tracks complaints registered against an agent, product or office
• Creates electronic Investment Authorization Form
• Provides for dynamic, ad hoc querying of customer and transaction data
• Generates timely reports for internal auditors and regulators

EAI’s Compliance Module is fully integrated and interacts with the Annuities, Mutual Fund/Securities and Insurance modules in the EAI Platinum© system.

For more information or to request a demonstration, Contact Us.