Compliance and disclosure management requires staff to manually retrieve client data, identify applicable regulations, assemble documents, and track signatures across multiple systems. This fragmented workflow creates delays, audit gaps, and high operational overhead.
Automation retrieves transaction data, maps regulatory requirements by state and product type, populates disclosure templates, and compiles signature-ready packets automatically.
The full workflow, from trigger to completion.
Workflow triggers when a transaction status changes to approved. Client data, product type, and transaction details are pulled automatically.
The automation analyzes client state, product type, and transaction details against regulatory rules to determine which disclosures apply.
Automation populates disclosure templates with client data and transaction details, creating a complete packet ready for signature.
Disclosure packet is sent to the client for electronic signature with a 5-day deadline and automatic reminders.
Signed documents are automatically organized and filed by client and transaction date.
Compliance status is updated with send date, signature date, and completion timestamp. notification confirms clearance.
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